Senior Advisor, Compliance - Associate Activities
Core
Senior advisor ensuring compliance with securities and banking regulations for Associate Activities, including Outside Business Activities, Political Contributions, and Gifts.
Role type
Senior IC compliance advisor (securities/banking)
Builds
Compliance programs and controls for Associate Activities
Domain
Financial services / Securities and Banking
Required skills
Securities and banking compliance knowledge, SEC/FINRA/FDIC regulatory expertise, conflict of interest management, data analytics, policy development, stakeholder partnership
Preferred skills
CAMS or similar certification, advanced financial markets knowledge, training program development
Technologies
Standard office equipment, compliance software applications
Responsibilities
Execute processes for Outside Business Activities and Political Contributions, monitor 1st and 2nd line activities, identify and report potential violations, adjust compliance policies, research associate conflicts, deliver presentations to management
Seniority
Senior, hands-on IC
