Compliance Officer - Corporate Compliance
About the role
We are seeking a detail-oriented and collaborative compliance professional to join our Corporate Compliance team. In this role, you will oversee key compliance processes related to associate training, regulatory questionnaires, and disclosure requirements while serving as a trusted advisor on firm policies, procedures, and regulatory obligations. You will work closely with associates and business partners across the organization to address compliance-related inquiries and support the identification, investigation, and resolution of potential compliance risks. This role requires strong knowledge of FINRA and SEC regulations, exceptional organizational skills, and the ability to balance regulatory requirements with a service-oriented approach.
Responsibilities
- Reviews, interprets and analyzes higher risk and more complex associate requests, registrations and disclosures
- Collaborate with Compliance Analytics Team, Business Process and IT team members to develop new workflows or implement process enhancements, oftentimes managing several project lanes at one time
- Ensure associate training, attestation, registration and disclosure responsibilities are completed and documented in accordance with the firm’s policies and procedures by tracking progress of completion and following up on outstanding requirements, escalating when necessary
- Monitor and report on associate disclosures; identify business risks and recommend improvements
- Provide assistance to associates regarding compliance issues, firm policies, procedures and industry regulations as they pertain to the Corporate Compliance function
- Actively participate in, research and execute on ad-hoc projects led by the Corporate Compliance team
Qualifications
- 3-5 years of compliance or financial services experience, broker-dealer and/or investment advisor preferred