Key skills
Risk Management
About this role
Role Overview
- Conduct onsite branch inspections to evaluate supervisory systems, branch signage, records, and adherence to firm policies and regulatory requirements.
- Provide compliance training to branch staff and business partners to reinforce policies and regulatory obligations.
- Draft, review, and update compliance policies and procedures to reflect regulatory changes and best practices.
- Review and approve advertising and marketing materials in accordance with FINRA Rule 2210 and firm policies and procedures.
- Offer guidance and compliance advice to business partners on day-to-day issues and emerging risks.
- Assist in investigating potential fraud, financial exploitation, and elder abuse claims, ensuring timely escalation and resolution.
Requirements
- Bachelor's Degree or equivalent experience
- FINRA Series 7 and 24 or willing to obtain
- Minimum 5 years of experience in compliance, risk management, auditing, or related fields (required)
- Advanced knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial markets
- Documenting findings and communicating risks through clear, concise reports.
- Applying sound judgment in evaluating complex compliance scenarios.
Benefits
- Flexible work arrangements
- Professional development opportunities