Compliance Risk Manager Senior – Broker/Dealer
About The Position
The Compliance Risk Manager Senior – Broker/Dealer provides independent second-line oversight and guidance to help ensure business products, services, and processes comply with regulatory requirements. The role partners with the business and key stakeholders to identify and manage compliance risk while promoting a strong culture of compliance, integrity, and sound professional judgment. The role requires office attendance four days per week and may be based in San Antonio, Texas; Plano, Texas; Phoenix, Arizona; Colorado Springs, Colorado; Charlotte, North Carolina; or Tampa, Florida. Relocation assistance is not available.
Requirements
- Bachelor's degree, or four years of relevant education and/or experience.
- Six or more years of relevant experience in compliance, risk, legal, or audit within the financial services or insurance industry, or in specialized technical fields directly related to the role.
- Demonstrated experience working in a highly regulated environment.
- Advanced knowledge in a specific area of compliance laws, regulations, and regulatory expectations.
- Demonstrated ability to apply advanced regulatory compliance knowledge to consult and provide insight and guidance.
- Advanced knowledge of Microsoft Office tools, including Word, Excel, and PowerPoint.
- Experience providing guidance and best practices to team members.
Nice To Haves
- Securities licenses Series 7 and 24.
- Experience working and communicating with regulators.
- Familiarity with FINRA rules and requirements.
- Testing or audit experience in financial services.
- US military experience through military service or as a military spouse/domestic partner.
Responsibilities
- Coordinate market conduct examinations and data calls.
- Guide the business to ensure documents, projects, processes, and product initiatives align with regulatory and legal requirements and enterprise policy.
- Synthesize analyses, identify root causes of potential compliance risk, provide recommendations that influence business solutions, and validate resolution.
- Review implementation planning for new laws and regulations and ensure appropriate parties have been engaged.
- Communicate information and positions clearly, concisely, logically, and in an organized manner.
- Implement compliance risk management activities in accordance with enterprise compliance policies and procedures.
- Collaborate with departments including Underwriting, Claims, State Management, Enterprise Licensing, and Legal.
Benefits
- Comprehensive medical, dental, and vision plans.
- 401(k) and pension.
- Life insurance.
- Parental benefits.
- Adoption assistance.
- Paid time off, including paid holidays and 16 paid volunteer hours.
- Wellness programs.
- Career path planning and continuing education.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Senior
