Senior Compliance Specialist

Role Overview

• As a Compliance Specialist you are tasked with developing, enacting, and executing and owning aspects of the Compliance functions for CBIZ, Inc. and its affiliates, including the Regulated entities of CBIZ Investment Advisors Services, LLC and CBIZ Financial Solutions, Inc., as well as other affiliates of the parent company.
• Coordinate the development, implementation, and manage the ongoing maintenance of compliance programs in accordance with SEC, FINRA, and applicable state regulations.
• Conduct ongoing monitoring, reviews, and testing of business activities to identify potential compliance risks and issues as well as provide solutions for their mitigation.
• Work with Compliance and Operations teams with the preparation, review, and timely filing of regulatory reports and disclosures, including Form ADV, Form CRS, FINRA filings, and state regulatory submissions.
• Assist in regulatory examinations, audits, and inquiries by preparing documentation, responding to requests, and coordinating with internal compliance stakeholders as well as being a responsible party for the outcomes.
• Review and approve marketing, advertising, and client communications for regulatory compliance, and support RIA leadership with go-to-market initiatives.
• Develop with the Director of Compliance a corporate program for policies and procedures, including but not limited to insider trading, RFPs, business continuity planning (BCP), records retention, and anti-bribery and anti-corruption requirements.
• Develop and manage programmatic administration, monitoring, and ongoing effectiveness of corporate compliance policies and programs across business units.
• Support codes of ethics, conflicts of interest processes, investigations, and whistleblower programs.
• Participate in enterprise risk management (ERM) and compliance risk assessments.
• Help lead the maintenance, testing, and documentation of internal controls related to compliance and corporate governance.
• Support Board of Directors and committee reporting, including preparation of compliance summaries, metrics, and materials.
• Create and monitor policy governance, including drafting, reviewing, updating, and distributing corporate compliance policies and procedures.
• Demonstrated strategic problem-solving skills, including the design, implementation, and execution of compliance solutions in complex regulatory and corporate environments.
• Support training, monitoring, and ongoing effectiveness testing of compliance programs.

Requirements

• Bachelor’s degree preferred
• 3 years of experience as a subject matter expert
• Must maintain current required licenses and certifications relevant to field of expertise
• Demonstrates the ability to communicate verbally and in writing throughout all levels of the organization, both internally and externally
• Effective customer service skills
• Proficient use of applicable technology
• Ability to work in a team environment as well as independently
• Ability to analyze and prioritize multiple responsibilities

Benefits

• CBIZ strives to be our team members' employer of choice by creating an environment where team members are appreciated, recognized for their contributions, and provided with opportunities to grow, both personally and professionally, throughout their careers.
• Health insurance
• Paid time off
• Professional development opportunities