Sr. Ethics, Risk and Compliance Specialist in F5's Compliance team ensuring adherence to compliance standards and driving data analytics initiatives.
About the role
- Compliance Specialist supporting compliance programs development and implementation for corporate law. Involves regulatory compliance and collaboration with various internal teams.
Responsibilities
- Support the development, implementation, and ongoing maintenance of compliance programs in accordance with SEC, FINRA, and applicable state regulations.
- Conduct ongoing monitoring, reviews, and testing of business activities to identify potential compliance risks and issues.
- Assist the Compliance and Operations teams with the preparation, review, and timely filing of regulatory reports and disclosures, including Form ADV, Form CRS, FINRA filings, and state regulatory submissions.
- Support regulatory examinations, audits, and inquiries by preparing documentation, responding to requests, and coordinating with internal compliance stakeholders.
- Review marketing, advertising, and client communications for regulatory compliance, and support RIA leadership with go-to-market initiatives.
- Support compliance with corporate policies and programs, including but not limited to insider trading, RFPs, business continuity planning (BCP), records retention, and anti-bribery and anti-corruption requirements.
- Assist in the administration, monitoring, and ongoing effectiveness of corporate compliance policies and programs across business units.
- Support codes of ethics, conflicts of interest processes, investigations, and whistleblower programs.
- Participate in enterprise risk management (ERM) and compliance risk assessments.
- Assist in maintaining, testing, and documenting internal controls related to compliance and corporate governance.
- Support Board of Directors and committee reporting, including preparation of compliance summaries, metrics, and materials.
- Assist with policy governance, including drafting, reviewing, updating, and distributing corporate compliance policies and procedures.
- Demonstrated strategic problem-solving skills, including the design, implementation, and execution of compliance solutions in complex regulatory and corporate environments.
- Experience supporting the development, implementation, and oversight of compliance automation, ensuring alignment with legal, regulatory, and industry best practices.
- Provide governance and oversight of automated compliance tools and processes.
- Support training, monitoring, and ongoing effectiveness testing of compliance programs.
- Proactively enhance compliance processes and support the continuous evolution of compliance programs through automation, data analytics, and best-practice improvements.
- Collaborate effectively with internal stakeholders, including Legal, Finance, Risk, Operations, Technology, Internal Audit, and Business Unit leaders, to integrate compliance into daily business operations.
- Assist in delivering clear, well-documented, and actionable compliance reporting to senior management and the Board of Directors.
- Identify potential system, process, and internal control gaps, and support remediation efforts.
- Have sound ethics and understanding of necessary discretion.
Requirements
- High school diploma or GED required; Bachelor's degree preferred
- Approved paralegal certification
- 2 years of increasingly complex work in a legal environment
- Knowledge of fundamental legal principles and methods relevant to general corporate law
- Knowledge of legal publications and ability to remain current in profession
- Excellent research skills to include Internet research
- Organizational and cataloging skills
- Demonstrated ability to communicate verbally and in writing throughout all levels of the organization, both internally and externally
- Possess problem-solving ability through detailed analysis of various rules, regulations, laws etc.
- Proficient use of applicable technology
Job title
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Degree requirement
Location requirements
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