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About the role
Key responsibilities & impact- Lead compliance program and serve as regulatory point of contact
- Design and oversee compliance policies and procedures
- Conduct risk assessments and monitor compliance risks
- Manage third-party compliance monitoring
- Provide compliance training and advisory support
- Collaborate with various business units
- Oversee regulatory reporting and rule implementation
- Manage and mentor compliance team
Requirements
What you’ll need- Bachelor’s degree in Business, Economics, Finance, or Accounting
- Twelve years of financial industry experience, including compliance/risk management
- Strong regulatory knowledge and experience
- Excellent communication and interpersonal skills
- Ability to work with regulatory agencies
- Attention to detail and strong organizational skills
- Proficient in Microsoft Office
- Strong analytical and time management skills
- Advanced knowledge of compliance regulations
- FINRA Series 7, 14/24, and 66
Benefits
Comp & perks- Medical, dental, and vision insurance
- Life insurance
- Disability and accidental death benefits
- Tax-preferred savings accounts
- 401(k) plan
- Vacation days
- Sick days
- Paid holidays
- Potential eligibility for pension plan or stock options
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance policiesrisk assessmentsregulatory reportingcompliance trainingcompliance monitoringregulatory knowledgecompliance regulationsfinancial industry experiencerisk managementanalytical skills
Soft Skills
communication skillsinterpersonal skillsorganizational skillsattention to detailtime managementmentoringcollaboration
Certifications
FINRA Series 7FINRA Series 14FINRA Series 24FINRA Series 66
