Oversight & Engagement Specialist
Core
Assist with compliance reviews, monitoring activities, issue tracking, reporting, and process improvements to support regulatory adherence and risk management.
Role type
Junior compliance specialist (registered representative)
Builds
Compliance reports, issue tracking logs, and process improvement documentation
Domain
Financial services / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Regulatory requirements knowledge, risk assessment, data review, documentation, issue tracking, process improvement
Preferred skills
FINRA Series 7, Series 24, SIE, Bachelor's degree
Technologies
None stated
Responsibilities
Assist with compliance reviews and routine testing, support documentation of observations and findings, review records for accuracy, respond to compliance questions, assist with issue tracking and remediation, contribute to process improvement projects
Seniority
Entry-level, supervised IC