Compliance Officer providing regulatory compliance support within the asset services business line. Managing compliance frameworks and guiding risk owners on regulatory obligations.
About the role
- Compliance Manager reviewing broker-dealer and registered investment adviser communications for regulatory compliance. Working collaboratively with diverse business partners in a hybrid work environment.
Responsibilities
- Review of broker-dealer, registered investment adviser, insurance and other created communications and marketing materials for compliance with applicable FINRA and SEC regulatory requirements, state, other applicable advertising regulations and guidance and internal company compliance policies and procedures.
- Identify and escalate communications as needed to other subject matter experts and/or review groups.
- Build and maintain relationships with key business & GCO partners and promote a culture of compliance.
- Stay up to date on applicable laws and regulations, analyze their effect on business practices and provide guidance to business partners.
- Work collaboratively with multiple business partners to gain a thorough understanding of our products and business.
- Proactively attend meetings and hold ad hoc discussions with business partners and other areas to understand new initiatives, offer compliance guidance, and determine the potential impact to communications and marketing materials.
- Oversee and influence business partners to ensure compliance policies and procedures are implemented.
- Contribute to the development/improvement, maintenance and implementation of business unit procedures and employee training materials, designed to help ensure that materials produced are compliant.
- Work on special projects and perform other duties as assigned.
Requirements
- Bachelor's degree or equivalent (4-years)
- 5-7 years of relevant work experience
- Proven success in audit and/or compliance functions
- Strong knowledge of financial services industry
- Knowledge of FINRA, SEC, State, and other regulatory requirements
- Strong written and verbal communication skills
- Minimum of 2 years of hands-on communication review experience
- Facilitation skills
- Ability to prepare and/or present material for senior leaders, with leader support
- Excellent Project Management skills
- Excellent analytical and research skills
- Strong interpersonal skills with a client focus.
Benefits
- vacation time
- sick time
- 401(k)
- health, dental and life insurances
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