Compliance Representative

Responsibilities

• Partner with assigned Line of Business, other Risk/Compliance/Audit (RCA) 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 escrow risks as appropriate
• Serve as a functional liaison between the Line of Business and the Lines of Defense
• Respond to regulatory inquiries
• Review and resolve customer complaints
• Review potential policy violations
• Backup reporting and other team related tasks and ad hoc projects

• Bachelor's degree, or equivalent work experience
• Typically more than five years of applicable experience
• FINRA Series 7, Series 24 and Series 53 licenses are required
• Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
• Advanced 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
• Applicable professional certifications