Compliance Specialist – WIM Compliance Pre-Registration Team

Compliance Specialist – WIM Compliance Pre-Registration Team

Requirements

• 2+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Responsibilities

• Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
• Oversee the Front Line’s execution and challenges appropriately on compliance related decisions
• Support the oversight or monitoring of a risk-based compliance program
• Provide support in developing and overseeing standards with some business and functional knowledge
• Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area
• Work with a business unit, a defined set of rules and regulations on low to moderate risk compliance matters
• Provide support in reporting findings and drafting recommendations to management
• Interact with team to support risk oversight and monitoring
• Manage and ensure accuracy of data
• Troubleshoot system issues to determine root cause
• Research and implement new regulatory rules and manage other Registration Team related projects
• Identify and recommend opportunities for process improvement and risk control development
• Establish and maintain effective relationships with various teams
• Interpret policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Interact with internal customers
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Preferred Qualifications

• Series 7 FINRA License
• Knowledge and understanding of Broker-Dealer regulatory requirements
• Excellent verbal, written, and interpersonal communication skills including the ability to communicate effectively across various stakeholders including conducting difficult conversations and persuasive messaging
• Ability to effectively decision candidates for licensing through review of candidate’s background, experience, FINRA history and credit/criminal history
• Ability to build effective relationships across a matrixed organization to effectively communicate and decision candidates for licensing
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important