Senior Brokerage Program Compliance Specialist

Core Responsibilities

• 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
• Provides guidance to mitigate compliance risks and control gaps
• Oversees the design, implementation, execution, and maintenance of compliance policies and procedures
• Supports the development of new compliance standards
• Identifies and implements corrective action plans for resolution of problematic issues
• Manages operational efficiency and process improvement initiatives, setting measurable standards, timelines and ensuring deadlines are met
• Serves as an expert on compliance programs and regulatory matters relevant to business operations
• Participates in special projects and performs other duties as assigned

Qualifications

• Minimum of five years related work experience, with 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)