Senior Regulatory Oversight Specialist

Role Overview

• Conduct effective and unbiased oversight supporting the Personal Investor’s product and service offerings
• Assist and support the Registered Principals Responsible (RPR) with complex internal audits, risk assessments, OSJ inspections, FINRA and SEC inspections, and regulator requests for Written Supervisory Procedures (WSPs)
• Provide Regulatory Oversight for aligned businesses and ensure completion of all evidencing for Representative Supervision WSP work being done across Front Office businesses
• Support other delegate work as needed
• Interpret current market, regulatory, and industry news to identify areas of opportunity within the oversight process through trending, gaps, and process change/workflows
• Work with Legal and Compliance to ensure the process update is compliant with industry regulation changes, system enhancements, and industry best practices
• Present key findings to the RPRs and key management
• Record the evidence of supervision, track and document follow-up and resolution, analyze trends, document process improvements/changes and the rational made to procedures
• Develop, maintain, and broaden effective working relationships across applicable process owner’s business areas and external business partners
• Foster lines of communication between business contacts, the Legal Department, Compliance Department colleagues, Risk, and personnel and control groups
• Work independently in a fast-paced environment
• Contribute to a positive and productive environment
• Assist the team in meeting team and department goals
• Participate in special projects and perform other duties as assigned

Requirements

• Undergraduate degree or equivalent experience required
• Graduate degree preferred
• Minimum three years business experience with financial services, Regulatory, and brokerage operations, compliance, investment, or auditing experience preferred
• Demonstrated ability to work efficiently and independently with a commitment to meeting deadlines
• Maintain a growth mindset with a passion for regulatory oversight, compliance excellence, and risk mitigation
• Proven project management capabilities with a focus on continuous process improvement
• Strong interpersonal skills with the ability to build and maintain effective cross‑functional relationships

Benefits

• Regulatory licenses and/or registration (e.g. FINRA, state, SFC) or ability to obtain in a designated period of time
• Series 7, Series 63, and Series 66 licenses needed