Compliance Representative

Responsibilities Partner with assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to create, implement, maintain, review or oversee an effective risk management framework Participate in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations Identify gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors Identify, respond and/or escrow risks as appropriate Serve as a functional liaison between the Line of Business and the Lines of Defense Respond to regulatory inquiries Review and resolve customer complaints Review potential policy violations Backup reporting and other team related tasks and ad hoc projects Requirements Bachelor's degree, or equivalent work experience Typically more than five years of applicable experience FINRA Series 7, Series 24 and Series 53 licenses are required Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business Advanced understanding of the business line’s operations, products/services, systems, and associated risks/controls Thorough knowledge of Risk/Compliance/Audit competencies Strong analytical, process facilitation and project management skills Effective presentation, interpersonal, written and verbal communication skills Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations Applicable professional certifications #J-18808-Ljbffr