Overview

We are looking for someone with the ability to help develop, enhance and maintain an effective compliance program. This person will:

-Offer guidance and serve as a primary point of contact for compliance related matters
-Will have a good understanding and maintain awareness of applicable regulations including Anti-Money Laundering, Privacy, Patriot Act, Cybersecurity, etc.
-Will have a good understanding of financial industry compliance policies, standards, and practice
-Provide guidance to various departments, with an understanding of the businesses’ product or service and the ability to assess the impact requirements will have on the department.
-Be able to identifying, investigating and escalating “red flags” or issues where a level of exposure may exist
-Escalating areas of non-compliance and ensuring that compliance risks are adequately identified, assessed, monitored, and reported; including working with associates to ensure corrective action plans are implemented
-Liaising with acquirers and internal/external auditors
-Educating and communicating compliance awareness to associates through guidance, training, and bulletins
-Proactively monitoring the financial and regulatory environment to stay abreast of developments which could impact the business
-Maintaining and updating, as required, policy changes and business/compliance documentation
-Develop and implement effective oversight testing and monitoring
-Conduct compliance reviews, identifying and addressing trends and concerns
-Following an annual compliance plan; tracking and reporting key deliverables and milestones

Requirements:

We need an organized and detail oriented self-starter who can hustle, and is comfortable functioning with minimal supervision. More specifically, we are looking for someone who has the following attributes:

-5+ years work experience in the financial industry or related field; with at least 3 years experience in a compliance, legal or audit role
-Licensing: FINRA Series 7, 63 and 24
-General understanding of SEC, FINRA & State Securities Rules and Regulations
-Strong analytical skills and the ability to adapt to changes
-An understanding of regulatory and operational risks and controls and the ability to independently conduct compliance reviews
-A strong team player with well-developed leadership qualities -Strong interpersonal skills and an ability to establish rapport with everyone from sales and support to the leadership team and external auditors
-Good written and verbal communication skills with the ability to deliver effective presentations to various stakeholders

Please send resumes to Rhonda Jungquist at  rjungquist@financialguide.com