Compliance Consultant
- Serve as a Compliance business partner for Marketing, Marketing Platforms, and Corporate Social Teams, coordinating project support for business and marketing initiatives.
- Act as the Social Media contact for the Communications Compliance team, attending meetings and calls to discuss policy guidelines.
- Maintain and update social media governance for Field and Home Office, including policy standards and supervisory review models.
- Develop, initiate, and revise policies and procedures for the social media compliance program; respond to regulatory inquiries, conduct audits, and recommend remediation for violations.
- Review Field and Home Office social media content using Patrol and Sprinklr; advise partners on compliant use of social platforms and alternate tools.
- Provide firm and advisor-level training, including enablement decks and onboarding for new Agency Supervisory Officers.
- Serve as Patrol system administrator, troubleshooting system issues and leading weekly calls.
- Support Broker Dealer Surveillance systems (Proofpoint, Proofpoint Patrol); manage rule sets, hierarchies, and vendor interactions.
- Educate and inform senior and executive management on compliance issues to avoid regulatory, financial, and reputational exposure.
- Proactively interpret regulations and company policy for staff and management.
- Bachelor’s Degree or Associates Degree and 8+ years of compliance related experience in lieu of Bachelor's Degree
- 5+ years of experience in securities compliance or law.
- 5+ years of broker dealer background in securities product offerings and investment advisory business practices
- FINRA Series 7 and 24 required at time of application to handle supervisory and surveillance responsibilities
- Graduate degree or advanced professional designation preferred.
- 10+ years of experience working in financial services, specifically with broker dealers or investment advisor business practices.
- Experience with business-related technology tools is preferred.
- Ability to identify regulatory risks and supervisory control weaknesses to management.
- Skill in developing and negotiating creative, practical compliance solutions.
- Strong written and verbal communication skills; ability to generate precise documentation.
- Analytical skills to identify and address a full range of compliance exposures.
- Ability to manage multiple and changing priorities.
- Excellent interpersonal, negotiation, and risk assessment skills.
- Regular meetings with Internal Compliance Teams and Law
- Focused one-on-one meetings with your manager
- Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA+, veteran and disability-focused Business Resource Groups
- Access to learning content on Degreed and other informational platforms
- Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits
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