Hybrid Senior Compliance Advisor – Retail Investment Advice

Posted last month

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About the role

  • Serve as the subject matter expert on Regulation Best Interest
  • Develop and refine compliance processes for investment products
  • Provide proactive guidance to senior leaders and product teams
  • Conduct targeted testing and oversee internal audits
  • Support regulatory exams and inquiries

Requirements

  • Minimum of five years related work experience
  • At least two years within a financial services compliance function
  • Undergraduate degree or equivalent combination of training and experience
  • Series 65 preferred

Benefits

  • Hybrid working model
  • Training initiatives to embed a culture of compliance

Job title

Senior Compliance Advisor – Retail Investment Advice

Job type

Experience level

Senior

Salary

Not specified

Degree requirement

Bachelor's Degree

Location requirements

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