Enterprise Compliance Differentiated Solutions Senior Specialist
Core
Execute and support compliance activities and practical business solutions for complex field practices, coordinating with Enterprise Compliance, supervision, and field stakeholders to ensure consistent execution and risk management.
Role type
Senior IC compliance specialist (financial services)
Builds
Compliance processes, training materials, and operational workflows for field practices
Domain
Financial services compliance and supervision
Required skills
Financial services compliance expertise, regulatory knowledge, risk management processes, stakeholder coordination, process documentation, training development, issue escalation, analytical problem-solving
Preferred skills
Training support experience, process improvement implementation, multi-priority management
Technologies
FINRA Series 7, FINRA Series 24
Responsibilities
Research and coordinate complex compliance matters, validate information for cross-network consistency, execute compliance processes and monitoring, coordinate communication among teams, develop training and guidance, identify process gaps for improvement, maintain accurate documentation and track work status
Seniority
Senior, hands-on IC