Senior Regulatory Compliance Specialist

Grow your career with a growing organization

Whether they’re helping people reach their long-term financial goals or providing personal wealth management strategies, every associate contributes to changing the lives of those we serve for the better. When it comes to job satisfaction, that’s hard to beat. And from a personal satisfaction perspective, you’ll enjoy the freedom to support causes that matter to you and experience a truly inclusive work environment. Your future starts now.

The purpose of the Senior Regulatory Compliance Specialist is to help the organization fulfill various regulatory requirements, develop and implement effective compliance policies/procedures, and to coordinate oversight programs intended to reasonably ensure compliance with federal and state securities and insurance regulations that govern the organization s business activities and associated persons. Works collaboratively to support the organization and its customers by helping to ensure compliance with established internal and external regulatory framework.

What You Will Do

• Participate as a presenter for in person and Webinar training sessions on compliance policies/procedures, as needed.
• Monitor and analyze complex proposed and new federal and state regulations in order to identify potential impact to the organization and needed changes to policies, procedures and/or operations.
• Update organizational compliance policies, as well as internal department policies and procedures for review/approval by management.
• Respond to a broad range of questions from internal business personnel regarding compliance matters.
• Facilitate implementation of various SEC, FINRA and/or State regulatory requirement(s) and development of effective and efficient compliance supervisory oversight programs.
• Participate in preparing responses to regulatory examinations, inquiries, or internal audits.
• Monitor electronic communications and escalate potential non-compliance incidents for further investigation and action as needed. If assigned as Escalator, investigate facts/circumstances and recommend an appropriate correction action.
• Provide guidance regarding compliance considerations relevant to new or changing regulations and/or business initiatives.
• Compile statistical data and narrative trend analysis reports as required by regulators and/or for internal management.
• Coordinate development, delivery and tracking of required compliance training, as assigned.
• Draft policy update communications to effected personnel, as assigned.

What You Will Bring

• Bachelor's degree or equivalent work experience.
• FINRA 6 & 26 registrations required within corporate-established timelines.
• FINRA fingerprinting required.
• 5+ years financial services experience, with minimum 2 years in directly related securities compliance role.

What Will Set You Apart

• Exceptional interpersonal skills with ability to interface with regulators, third party service providers, and a variety of colleagues, including business unit management and personnel from all business segments, as well as Corporate Support departments.

What We Offer You

We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.

• Business Resource Groups (BRGs) - internal networks that rally around common interest, experiences and identities such as race, ethnicity, gender, ability, military status and sexual orientation. BRGs play a vital role in educating and engaging our people and advancing our business priorities.
• Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
• Medical, dental, vision and life insurance
• Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
• Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
• Paid volunteer time — 16 hours per calendar year
• Tuition reimbursement up to $5,250/year
• Business-casual environment that includes the option to wear jeans

The salary range below shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

Base Salary Range

$ 61,800.00-87,375.00

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.

***For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment, will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.***