Compliance Advisor - Regulatory Change Management

Responsibilities Work within a dedicated team to execute regulatory intake and triage rules, guidance, enforcement actions, and exam activity across multiple rulebooks (e.g. FINRA, SEC, etc.). Assess applicability and document clear disposition decisions (in-scope, out-of-scope, monitor). Summarize regulatory updates into concise, actionable insights for stakeholders. Maintain and enhance the regulatory rules inventory with a focus on data accuracy, completeness, and consistency. Support workflow execution, tracking, and status visibility across regulatory change activities. Partner across Compliance, Legal, Risk, Technology, and business SMEs to support coordination of impact assessments. Support reporting and metrics to improve enterprise visibility into regulatory change. Identify trends and themes in regulatory developments and escalate as appropriate. Requirements Bachelor’s degree or equivalent, with 3–5 years of relevant experience. Familiarity with SEC, FINRA, or similar regulatory frameworks, including rules, guidance, enforcement actions, and exam activity. Experience maintaining structured data, inventories, or records. Experience supporting regulatory monitoring, intake, or triage activities in a financial services or regulated environment. Experience with compliance processes or GRC platforms (e.g., Archer) is a plus. Ability to assess applicability and document clear, structured disposition decisions. Strong analytical and organizational skills with attention to detail. Ability to translate complex regulatory information into clear, actionable summaries. Strong collaboration skills in a matrixed environment. Strong written and verbal communication skills. Ability to manage multiple priorities and deliver high-quality work. #J-18808-Ljbffr Jobtailor