About this role
Role Overview
- Implements broader planning for business unit compliance programs
- Manages large projects and processes to identify, investigate, and report compliance risks
- Develops and implements preventative measures and compliance processes
- Oversees compliance risk assessments
- Conducts complex investigations in response to complaints and/or potential violations of rules, regulations, policies and procedures.
Requirements
- 5+ years of Risk and/or Compliance experience in financial services
- Knowledge of regulatory requirements that pertain to registered investment advisers (RIAs) and broker-dealers
- Strong writing skills; previous experience drafting and maintaining compliance policies, SOPs, and written supervisory procedures
- Prior experience overseeing compliance programs for dual-registered broker-dealer and investment advisers
- Prior experience interfacing with regulators and responding to regulatory inquiries and exams.
Benefits
- Superior retirement program
- Highly competitive health, wellness, and work life offerings