Retail Broker-Dealer Compliance Specialist
About The Position
This role involves partnering with the assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers. The specialist will be responsible for creating, implementing, maintaining, reviewing, or overseeing an effective risk management framework. Key activities include participating in projects and initiatives to ensure compliance with applicable federal, state, and local laws and regulations. The position also focuses on identifying gaps and developing solutions to minimize losses caused by inadequate internal processes, systems, or human errors, as well as identifying, responding to, and escalating risks. The specialist acts as a functional liaison between the Line of Business and the Lines of Defense.
Requirements
- Bachelor's degree, or equivalent work experience
- Typically more than six years of applicable experience
- Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
- Considerable understanding of the business line’s operations, products/services, systems, and associated risks/controls
- Thorough knowledge of Risk/Compliance/Audit competencies
- Strong analytical, process facilitation and project management skills
- Effective presentation, interpersonal, written and verbal communication skills
- Effective relationship building and negotiation skills
- Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations
Nice To Haves
- FINRA Series 7 and 24
Responsibilities
- Partner with the assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to create, implement, maintain, review, or oversee an effective risk management framework.
- Participate in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations.
- Identify gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems, or human errors.
- Identify, respond to, and/or escalate risks as appropriate.
- Serve as a functional liaison between the Line of Business and the Lines of Defense.
Benefits
- Healthcare (medical, dental, vision)
- Basic term and optional term life insurance
- Short-term and long-term disability
- Pregnancy disability and parental leave
- 401(k) and employer-funded retirement plan
- Paid vacation (from two to five weeks depending on salary grade and tenure)
- Up to 11 paid holiday opportunities
- Adoption assistance
- Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
- Incentive and recognition programs
- Equity stock purchase
- Pension
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Number of Employees
5,001-10,000 employees
