Risk & Compliance Specialist

Job Overview:
Search Solution Group is seeking a Risk & Compliance Specialist on behalf of our client, a financial services company. This role is responsible for supporting the organization's day-to-day compliance operations, maintaining regulatory and policy requirements, and strengthening internal controls and supervisory review processes. The Risk & Compliance Specialist will manage compliance workflows and deadlines, research applicable regulations, develop and maintain policies and procedures, coordinate regulatory correspondence, and provide leadership with visibility into compliance risks and outstanding matters. This position requires strong attention to detail, sound judgment, organizational skills, and the ability to translate complex regulatory requirements into practical business processes.

Key Responsibilities:

• Own day-to-day compliance workflows, deadlines, follow-up activities, and outstanding compliance matters.
• Manage the Compliance inbox and associated tracking and monitoring systems.
• Maintain visibility into open compliance issues, required actions, owners, and deadlines.
• Ensure time-sensitive compliance matters are appropriately routed, monitored, escalated, and resolved.
• Coordinate IRS correspondence and related client response workflows.
• Maintain complete documentation supporting the review, approval, authorization, and completion of compliance activities.
• Develop, maintain, and continuously improve company-wide compliance policies.
• Draft, update, and maintain departmental Standard Operating Procedures (SOPs).
• Translate operational practices into clear, documented processes and procedures.
• Review existing policies, controls, and procedures to identify gaps in documentation, ownership, accountability, and execution.
• Maintain the company's policy and procedure library and ensure documentation remains current and accessible.
• Ensure written policies and procedures accurately reflect current operational practices.
• Assist in designing and implementing supervisory review frameworks.
• Establish workflow review checkpoints throughout operational processes to support consistent oversight.
• Define documentation, approval, escalation, and exception-handling standards.
• Monitor adherence to established compliance controls, policies, and procedures.
• Identify recurring compliance challenges, trends, and control weaknesses and recommend appropriate improvements.
• Develop reporting, tracking, and visibility tools to support leadership oversight of compliance activities.
• Research and maintain knowledge of federal laws, regulations, IRS guidance, and other regulatory materials affecting the organization.
• Interpret regulatory requirements and translate them into practical operational controls, policies, and business processes.
• Support compliance risk assessments and regulatory discussions.
• Assist with identifying, documenting, and mitigating compliance risks across business functions.
• Partner with internal teams to improve compliance processes, strengthen controls, and promote consistent execution.
• Escalate significant compliance concerns or unresolved issues to appropriate leadership.
• Support audits, regulatory reviews, internal assessments, and other compliance-related initiatives as needed.
• Perform additional risk, compliance, documentation, and process-improvement responsibilities as assigned.

Requirements Include: Education:

• Bachelor's degree in Finance, Business Administration, Accounting, Risk Management, Compliance, Legal Studies, or a related field preferred.
• Equivalent combination of education and relevant professional experience may be considered.

Experience:

• 3+ years of experience in compliance, risk management, regulatory operations, internal controls, financial services, or a related field preferred.
• Experience managing compliance workflows, deadlines, documentation, and follow-up activities.
• Experience developing, maintaining, and implementing policies and Standard Operating Procedures.
• Experience researching and interpreting federal regulations, statutes, regulatory guidance, or IRS materials.
• Experience supporting internal controls, supervisory review processes, audits, or compliance assessments.
• Experience working with confidential or sensitive business information.
• Financial services or regulated-industry experience strongly preferred.

Skills:

• Strong regulatory research and analytical skills.
• Excellent written and verbal communication skills.
• Ability to interpret complex regulatory requirements and translate them into clear operational processes.
• Strong policy and procedure writing skills.
• Excellent organizational and time-management abilities.
• Strong attention to detail and accuracy.
• Ability to manage multiple compliance matters, deadlines, and priorities simultaneously.
• Strong follow-up and issue-tracking skills.
• Ability to identify gaps, risks, and process weaknesses and recommend practical solutions.
• Strong critical-thinking and problem-solving skills.
• Ability to communicate effectively with employees and leaders at various levels of the organization.
• Proficiency with Microsoft Office Suite, including Word, Excel, Outlook, and PowerPoint.
• Ability to maintain accurate records and compliance documentation.
• Ability to handle sensitive and confidential information with discretion.

Certifications:

• No specific certification is required.
• Certified Regulatory Compliance Manager (CRCM), Certified Compliance & Ethics Professional (CCEP), or other relevant compliance/risk certification is a plus.

Knowledge:

• Knowledge of federal regulations and regulatory compliance principles.
• Understanding of compliance risk management and internal control frameworks.
• Knowledge of policy and procedure development and administration.
• Understanding of supervisory review, approval, escalation, and exception-handling processes.
• Familiarity with IRS correspondence, guidance, and regulatory requirements.
• Knowledge of documentation and recordkeeping standards.
• Understanding of risk identification, assessment, mitigation, and monitoring.
• Familiarity with financial services regulations and compliance requirements strongly preferred.
• Understanding of operational workflows and how regulatory requirements translate into business processes.

Key Competencies:

• Regulatory Acumen: Demonstrates the ability to research, interpret, and apply regulatory requirements to business operations.
• Attention to Detail: Maintains a high level of accuracy when reviewing documentation, deadlines, policies, and compliance matters.
• Accountability: Takes ownership of compliance activities and follows issues through to resolution.
• Analytical Thinking: Evaluates complex information, identifies risks and trends, and develops sound recommendations.
• Organization: Effectively manages multiple workflows, deadlines, documentation requirements, and competing priorities.
• Problem Solving: Identifies the root causes of compliance and process issues and develops practical solutions.
• Written Communication: Produces clear, accurate, and well-organized policies, procedures, reports, and compliance documentation.
• Judgment: Demonstrates sound judgment when evaluating compliance concerns, exceptions, escalations, and sensitive information.
• Collaboration: Works effectively with teams across the organization to implement controls and improve compliance processes.
• Initiative: Proactively identifies gaps and opportunities for improvement rather than waiting for issues to arise.
• Confidentiality: Handles sensitive regulatory, client, employee, and business information with discretion.
• Execution: Consistently monitors deadlines, follows up on open matters, and ensures compliance activities are completed accurately and on time.
• Adaptability: Adjusts effectively to changing regulatory requirements, business priorities, and operational processes.

How to Apply:
To apply for this position, please click the "Apply" button at the top right of your screen. Alternatively, you can email your application to View email address on click.appcast.io . Please ensure to include your resume and any other relevant documents or information that showcase your qualifications and suitability for the role. We appreciate your interest in joining our team and look forward to reviewing your application.

Company Overview:
Company Industry: Financial Services

Location: South Jordan Utah

Equal Opportunity Employer Statement:
Search Solution Group is an Equal Opportunity Employer committed to fostering an inclusive workplace where diversity is valued and respected. We do not discriminate on the basis of race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status in our hiring process or employment practices. We believe that a diverse workforce brings unique perspectives and strengths, driving innovation and growth. All employment decisions are based on qualifications, merit, and business needs. We welcome applicants from all backgrounds to apply and contribute to our team.

Disclaimer:
Please note that the job description provided is not exhaustive and is subject to change. Additional duties may be assigned as needed to meet the evolving needs of the organization and to ensure the successful completion of projects and objectives