Risk Manager at Cisco Capital ensuring regulatory compliance and effective risk management practices. Focus on safeguarding financial health and collaboration within an international environment.
About the role
- Compliance Analyst ensuring financial products and services meet state and federal regulations. Collaborating with teams for oversight and policy enforcement in a hybrid office environment.
Responsibilities
- Performing delegated supervisory activities, oversight, surveillance and exception reporting research and review, maintenance of branch-level supervisory books and records
- Assisting managers as needed with assigned day to day compliance/oversight tasks and responsibilities to ensure branch office compliance with Firm policies as well as SEC, FINRA and state securities and insurance rules and regulations
- Helping draft, revise and enforce new and existing policies and procedures and communicates branch-level policy to sales managers and registered representatives
- Assist the OSJ Oversight Director with special projects as required
Requirements
- Relevant compliance or securities related experience with a broker/dealer, investment adviser and/or financial services firm
- Excellent writing, oral and analytical skills
- FINRA Series 7 and 24 registrations required
- Ability to work independently and meet strict deadlines
- Strong knowledge of securities and insurance rules and regulations
- Strong knowledge and expertise of retirement plans, products and concepts
- Strong aptitude with retail brokerage and advisory platforms
- Strong prioritization, organization and time management skills
- Series 65 or 66 -IAR Designation highly desirable (must be obtained within 3 months)
Benefits
- Health, dental, vision and life insurance plans
- 401(k) Savings plan – with generous company matching contributions (up to 6%)
- Voya Retirement Plan – employer paid cash balance retirement plan (4%)
- Tuition reimbursement up to $5,250/year
- Paid time off – including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day
- Paid volunteer time — 40 hours per calendar year
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