Compliance Manager/Officer
Core
Conducting required Branch Office and Office of Supervisory Jurisdiction inspections to identify violations, red flags, and risks within the Field Office Inspections department.
Role type
Senior IC compliance manager (field inspections)
Builds
Regulatory compliance reports and action plans for branch offices and OSJs
Domain
Financial services / Regulatory compliance
Required skills
FINRA/SEC regulatory knowledge, investigative skills, interview techniques, risk analysis, report writing, policy interpretation, process improvement, stakeholder management, project management
Preferred skills
Audit function experience, leadership experience
Technologies
None stated
Responsibilities
Conduct independent research and analyze reports to identify problematic behavior and risks; Conduct initial and exit interviews with Registered Principals and staff; Review and report on the effectiveness of field compliance supervision; Provide education to field members on regulatory topics and best practices; Escalate issues related to supervisory practices; Write and follow up on Commitment to Action plans; Communicate inspection results to field leadership; Partner with other teams to identify risks and clarify policies; Identify and implement process improvement opportunities.
Seniority
Senior, hands-on IC