Oversees compliance exception reporting processes and collaborates surrounding corrective actions, while also coaching, training, and mentoring less experienced associates
Job Summary
Oversees compliance exception reporting processes and collaborates surrounding corrective actions, while also coaching, training, and mentoring less experienced associates.
Directs adjustments to existing programs, policies, and procedures to ensure adherence to all regulatory requirements and that compliance activities are commensurate with the level of risk being mitigated.
Informs Senior Compliance Management about issues that may involve rule violations or potential liability and assists management to implement adequate controls and quality assurance processes.
Matching Summary
Oversees compliance exception reporting processes and collaborates surrounding corrective actions, while also coaching, training, and mentoring less experienced associates.
Skills & Requirements
Must-have
Securities and banking industry compliance
SEC, FINRA, and state regulations
Investment concepts and financial markets
Compliance program oversight
Risk mitigation and control implementation
Nice-to-have
Develop training programs
Automate and streamline functions
Partner with other functional areas
Client-first, integrity, independence
Key Requirements
Minimum six years of experience in Compliance and/or financial services