Hybrid Investments and Insurance Compliance Examiner

Posted 3 weeks ago

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About the role

  • Partner with assigned Line of Business, other Risk/Compliance/Audit professionals, and RCA Managers to create, implement, maintain, review or oversee an effective risk management framework
  • Participate in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations
  • Identify gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors
  • Identify, respond and/or escalate risks as appropriate
  • Serve as a functional liaison between the Line of Business and the Lines of Defense

Requirements

  • Bachelor's degree, or equivalent work experience
  • Typically more than three years of applicable experience
  • Series 7 and 63 or 66 registrations required (Series 7, at minimum, must be held & active; others must be obtained within 180 days)
  • General understanding of compliance or supervisory issues preferred
  • Ability to make reasonable decisions in a timely manner
  • Ability to work in a dynamic fast-paced environment
  • Self-motivated to manage work independently and possess strong organizational skills to effectively prioritize throughout the day
  • Ability to build and maintain relationships with various individuals and areas throughout the firm
  • Collaboration and problem-solving skills
  • Identify trends and patterns to determine if follow-up or escalation is required to Compliance or additional process improvements are needed
  • Effective leadership of department efforts
  • Intermediate knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
  • Intermediate understanding of the business line’s operations, products/services, systems, and associated risks/controls
  • Thorough knowledge of Risk/Compliance/Audit competencies
  • Strong analytical, process facilitation and project management skills
  • Effective presentation, interpersonal, written and verbal communication skills
  • Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations

Benefits

  • Healthcare (medical, dental, vision)
  • Basic term and optional term life insurance
  • Short-term and long-term disability
  • Pregnancy disability and parental leave
  • 401(k) and employer-funded retirement plan
  • Paid vacation (from two to five weeks depending on salary grade and tenure)
  • Up to 11 paid holiday opportunities
  • Adoption assistance
  • Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

Job title

Investments and Insurance Compliance Examiner

Job type

Experience level

Mid levelSenior

Salary

$75,820 - $89,200 per year

Degree requirement

Bachelor's Degree

Location requirements

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