Compliance Examiner
Core
Partner with Line of Business and Risk/Compliance/Audit professionals to create, implement, maintain, and oversee an effective risk management framework while ensuring compliance with federal, state, and local laws.
Role type
Compliance Examiner (Risk/Compliance)
Builds
Risk management frameworks and compliance solutions for assigned Line of Business
Domain
Financial Services / Banking / Regulatory Compliance
Required skills
Risk management framework design, regulatory compliance monitoring, gap identification, risk escalation, process improvement, project management, analytical skills, Microsoft Office proficiency
Preferred skills
FINRA Series 24 certification, knowledge of regulatory trends, business line operations understanding, presentation skills
Technologies
Microsoft Office, databases, word processing, spreadsheets
Responsibilities
Create and maintain risk management frameworks, identify compliance gaps and inform solutions, identify trends and patterns for escalation, serve as liaison between Line of Business and Lines of Defense, lead department efforts
Seniority
Mid-level, hands-on IC
