Regulatory Compliance Officer
Core
Interpret regulatory requirements and guide business partners on complex compliance matters within the financial services industry.
Role type
Senior Regulatory Compliance Officer (Financial Services)
Builds
Regulatory policies, procedures, training programs, and incident reports for a financial services firm.
Domain
Financial Services / Regulatory Compliance / Anti-Money Laundering
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory compliance expertise, risk management, policy drafting, AML investigation, stakeholder coordination, complex problem resolution, training development, legal knowledge
Preferred skills
Professional designation (lawyer, accountant), experience with Referral and Distribution Agreements, experience with Service Agreements
Technologies
None stated
Responsibilities
Interpret business issues to recommend practices aligned with regulatory standards; lead regulatory projects; draft and improve policies and procedures; develop employee training; investigate privacy incidents and AML activities; analyze and review referral, distribution, and service agreements.
Seniority
Mid-to-Senior, hands-on IC