Corporate Attorney – M&A
Repligen Corporation
Senior Compliance Manager – Legal/Compliance
Alight Solutions
full-time
Posted on:
Location Type: Remote
Location: Remote • North Carolina • 🇺🇸 United States
Visit company websiteSalary
💰 $125,000 - $162,000 per year
Job Level
Senior
About the role
- Identify and mitigate risk through participation in regulatory and business initiatives
- Develop and maintain policies and procedures for a risk-based compliance framework
- Lead strategic compliance reviews and resolve issues to reduce exposure
- Oversee technology implementation and management for compliance operations
- Onboard and train new compliance team members
- Manage internal audit responses, including Anti-Money Laundering audits
- Oversee customer complaint tracking and resolution
- Conduct email reviews and escalate concerns as needed
- Monitor sales practices for regulatory adherence
- Review advertising and marketing materials for compliance
- Lead compliance education efforts and track completion
- Set strategic direction for compliance initiatives
- Respond to inquiries from FINRA, SEC, and state regulators
- Support special projects and ad hoc assignments
- Provide compliance guidance to internal committees
- Collaborate with leadership on succession planning aligned with strategic goals
Requirements
- Bachelor’s degree required
- Minimum 6 years of experience in broker-dealer and RIA compliance
- Deep understanding of SEC and FINRA regulations
- Series 24 and Series 65/66 licenses
- Strong communication skills with the ability to engage senior stakeholders
- Advanced analytical and problem-solving capabilities
- Experience with compliance technology platforms
- Broad business acumen to support product and initiative delivery
Benefits
- A variety of health coverage options
- Wellbeing and support programs
- Retirement
- Vacation and sick leave
- Maternity, paternity & adoption leave
- Continuing education and training
- Several voluntary benefit options
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
risk managementcompliance framework developmentinternal audit managementregulatory compliancestrategic compliance reviewscustomer complaint resolutionemail reviewsales practice monitoringadvertising compliance reviewcompliance education
Soft skills
strong communicationanalytical skillsproblem-solvingleadershipcollaborationtrainingstrategic planningstakeholder engagementteam managementbusiness acumen
Certifications
Bachelor's degreeSeries 24 licenseSeries 65 licenseSeries 66 license
