CBIZ

Compliance Specialist

CBIZ

full-time

Posted on:

Location Type: Hybrid

Location: Cleveland • Ohio • United States

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About the role

  • Support the development, implementation, and ongoing maintenance of compliance programs in accordance with SEC, FINRA, and applicable state regulations.
  • Conduct ongoing monitoring, reviews, and testing of business activities to identify potential compliance risks and issues.
  • Assist the Compliance and Operations teams with the preparation, review, and timely filing of regulatory reports and disclosures, including Form ADV, Form CRS, FINRA filings, and state regulatory submissions.
  • Support regulatory examinations, audits, and inquiries by preparing documentation, responding to requests, and coordinating with internal compliance stakeholders.
  • Review marketing, advertising, and client communications for regulatory compliance, and support RIA leadership with go-to-market initiatives.
  • Support compliance with corporate policies and programs, including but not limited to insider trading, RFPs, business continuity planning (BCP), records retention, and anti-bribery and anti-corruption requirements.
  • Assist in the administration, monitoring, and ongoing effectiveness of corporate compliance policies and programs across business units.
  • Support codes of ethics, conflicts of interest processes, investigations, and whistleblower programs.
  • Participate in enterprise risk management (ERM) and compliance risk assessments.
  • Assist in maintaining, testing, and documenting internal controls related to compliance and corporate governance.
  • Support Board of Directors and committee reporting, including preparation of compliance summaries, metrics, and materials.
  • Assist with policy governance, including drafting, reviewing, updating, and distributing corporate compliance policies and procedures.
  • Demonstrated strategic problem-solving skills, including the design, implementation, and execution of compliance solutions in complex regulatory and corporate environments.
  • Experience supporting the development, implementation, and oversight of compliance automation, ensuring alignment with legal, regulatory, and industry best practices.
  • Provide governance and oversight of automated compliance tools and processes.
  • Support training, monitoring, and ongoing effectiveness testing of compliance programs.
  • Proactively enhance compliance processes and support the continuous evolution of compliance programs through automation, data analytics, and best-practice improvements.
  • Collaborate effectively with internal stakeholders, including Legal, Finance, Risk, Operations, Technology, Internal Audit, and Business Unit leaders, to integrate compliance into daily business operations.
  • Assist in delivering clear, well-documented, and actionable compliance reporting to senior management and the Board of Directors.
  • Identify potential system, process, and internal control gaps, and support remediation efforts.
  • Have sound ethics and understanding of necessary discretion.

Requirements

  • High school diploma or GED required; Bachelor's degree preferred
  • Approved paralegal certification
  • 2 years of increasingly complex work in a legal environment
  • Knowledge of fundamental legal principles and methods relevant to general corporate law
  • Knowledge of legal publications and ability to remain current in profession
  • Excellent research skills to include Internet research
  • Organizational and cataloging skills
  • Demonstrated ability to communicate verbally and in writing throughout all levels of the organization, both internally and externally
  • Possess problem-solving ability through detailed analysis of various rules, regulations, laws etc.
  • Proficient use of applicable technology
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
compliance programsregulatory reportsForm ADVForm CRSFINRA filingsbusiness continuity planninginternal controlscompliance automationdata analyticslegal principles
Soft Skills
strategic problem-solvingorganizational skillscommunication skillscollaborationattention to detaildiscretionanalytical skillsresearch skills
Certifications
paralegal certification