Compliance Specialist Sr.

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About the role

Work within FTS Compliance to facilitate the securities registration process. Independently review, reconcile and report information to FINRA to ensure compliance with industry regulations.

Responsibilities

• Work with business partners, LOB employees, and vendors to complete required documentation to initiate the securities registration process.
• Review documentation to ensure completeness and work with employees to resolve any inaccuracies.
• Process securities registration and branch filings using the FINRA Gateway system.
• Escalate confidential matters to management and HR as necessary.
• Act as a resource for questions regarding the securities registration, licensing, and fingerprinting processes.
• Monitor and analyze trends and fluctuations and make recommendations to implement process improvements.
• Develop and maintain appropriate business relationships with internal and external customers.
• Maintain accurate tracking records and provide requested information upon request.
• Perform other duties as assigned.

Requirements

• Minimum of high school diploma or equivalent. Some college strongly desired.
• Two or more years prior work experience in compliance or financial-related field.
• Possess good organizational skills and attention to detail.
• Ability to communicate well with compliance staff and personnel outside the department.
• Ability to work with large amounts of confidential data.
• Ability to work independently and meet deadlines.
• Proficient in Microsoft Office.

Working Conditions

Normal office environment with little exposure to dust, noise, temperature, and the like. Extended viewing of a CRT screen. Repetitive use of the keyboard.

Benefits

Our Total Rewards include comprehensive benefits and differentiated compensation offerings to give each employee the opportunity to be their best every day. Our extensive benefits programs are designed to support the individual needs of our employees and their families, encompassing physical, financial, emotional, and social well-being.

Learn more about our benefits programs.

Pay

The base salary for this position is reflective of the range of salary levels for all roles within this pay grade across the U.S. Individual salaries within this range will vary based on factors such as role, relevant skillset, relevant experience, education, and geographic location.

Location: Cincinnati, Ohio 45202