Related skills
aml surveillance sars cdd regulatory compliance📋 Description
- Maintain knowledge of policies for NA/EU regulators (FINRA, SEC)
- Conduct reviews of regulatory compliance policies for financial services and mortgage clients
- Ensure communications comply with regulatory requirements and organizational policies
- Track and report review activity by client
- Participate in periodic trainings and regulatory education opportunities
- Identify and escalate communications posing potential compliance or operation risk
🎯 Requirements
- Knowledge of SEC, FINRA, and state securities regulators
- Critical thinking for regulatory compliance and risk mitigation
- Time management for timely communications reviews
- Experience with automated supervision/surveillance tools (Smarsh preferred)
- Bachelor's degree in Business or Finance or equivalent
- 2+ years of relevant experience (supervision, AML investigations, CDD, SARs)
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