Compliance Senior Specialist

About This Role

Key ResponsibilitiesAI-extracted

• 1
  Develop, administer, and operationalize the regulatory framework around a new business activity, including implementation of supervisory and operational policies and procedures.
• 2
  Conduct testing, surveillance, audits and exams, risk assessments, and annual reviews to validate supervision and controls are in place, and procedures are accurate.
• 3
  Research and respond to regulatory inquiries, exams and audits, complaint resolution, and client inquiries.
• 4
  Identify potential areas of compliance vulnerability and risk, propose solutions to resolve issues, and provide guidance for future avoidance of similar issues.
• 5
  Build essential workflows that achieve requirements including testing for books and record, establish proper information barriers, and identify conflicts of interest.

RequirementsAI-extracted

• 5-10 years compliance experience with an investment adviser
• Deep understanding of SEC Investment Advisers '40 Act and FINRA and regulations
• Demonstrated written, verbal, and presentation skills to communicate ideas and information in a clear, concise manner
• Exceptional organizational skills with an ability to think critically, solve problems, and implement process improvements
• Self-starter who pays close attention to the details

Perks & BenefitsAI-extracted