Compliance Specialist
Core
Review client communications, validate allegations against account activity, apply regulatory classifications, and route sales practice complaints to appropriate teams.
Role type
Senior IC compliance specialist (sales practice complaints)
Builds
Complaint management workflows and risk classification decisions
Domain
Financial services / Regulatory compliance
Required skills
investigative skills, analytical skills, risk classification, complaint identification, account activity validation, regulatory case assessment, sound judgement, attention to detail, written English, verbal English, case management
Preferred skills
financial markets knowledge, investment products knowledge, broker-dealer activities knowledge, FINRA knowledge, SEC knowledge, consumer-protection requirements knowledge, AML/KYC experience, operational risk experience, internal audit experience, legal and regulatory advisory experience
Technologies
complaint management system
Responsibilities
Review client communications and determine whether they meet the Firm's complaint criteria, Validate complaint allegations by reviewing relevant account activity and supporting information, Distinguish sales practice complaints from non-sales practice matters, Assess potential conduct, regulatory, and reputational risks, Apply FINRA and internal complaint classifications accurately and consistently, Route cases to the appropriate Legal, Compliance, or Operations teams, Provide practical guidance to business partners on complaint identification and classification, Support non-sales practice complaints when business volumes require additional coverage, Identify recurring themes, trends, and potential root causes, sharing actionable insights with team leadership, Build deep subject matter expertise in sales practice complaints, complaint governance, and Wealth Management conduct risk
Seniority
Mid-Senior, hands-on IC