Related skills
finra broker-dealer regulatory compliance📋 Description
- Design & Implement broker-dealer and investment advisory procedures.
- Review & Refine public communications to regulatory guidelines.
- Voice of the Customer: address customer complaints with integrity.
- Educate: lead regulatory compliance training for associates.
- Regulatory liaison: coordinate inquiries and examinations from regulators.
- Risk mitigation: lead comprehensive risk assessments and solutions.
🎯 Requirements
- 7+ years experience in a Financial Services organization.
- FINRA SIE, Series 7, 24, 63 and 65 (or 66) licenses required.
- Proven experience in broker-dealer and investment advisory compliance.
- Strong risk assessment and decision-making abilities.
- Excellent communication; translate regulations into actionable plans.
- Experience with regulatory inquiries and current financial regulatory environment.
🎁 Benefits
- Competitive salary and stock options.
- Comprehensive benefits for you and your family.
- Flexible work location, hours, and paid time off.
- 401(k) matching.
- Monthly Acorns account contribution & GoHenry for your family.
- Mindfulness and Financial Wellness resources.
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