Compliance expertise: proven track record working in compliance roles within financial services organizations
Regulatory knowledge: strong understanding of FINRA, SEC regulations, and other relevant financial regulatory frameworks
Financial services background: significant experience navigating compliance requirements in banking, brokerage, or fintech environments
Product development advisory: ability to consult with product and engineering teams to embed compliance considerations into product design and features
Risk assessment: experience evaluating regulatory risks and developing mitigation strategies
Documentation & processes: skilled in creating compliance documentation, policies, and operational procedures

Applicant Tracking System Keywords

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

Hard Skills & Tools

compliance frameworkregulatory requirementsrisk assessmentcompliance documentationoperational procedures

Soft Skills

advisory skillsconsultationcommunication