Key skills
Collaboration
About this role
Role Overview
- Serves as an experienced advisor to the business and interfaces regularly with business unit stakeholders and compliance partners
- Supports the business during regulatory visits, exams, inquiries and investigations within the business
- Oversees the design, implementation, execution, and maintenance of compliance policies and procedures
- Identifies and implements corrective action plans for resolution of problematic issues
- Manages operational efficiency and process improvement initiatives
- Serves as an expert on compliance programs and regulatory matters relevant to business operations
- Participates in special projects and performs other duties as assigned
Requirements
- Minimum of five years related work experience
- At least two years within a financial services compliance function
- Undergraduate degree or equivalent combination of training and experience
- This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC)
Benefits
- Hybrid working model designed for flexibility and collaboration