Senior Compliance and Risk Specialist
Skills
- FINRA Series 7 and Series 24 licensure
- Strong knowledge of FINRA, SEC, and AML regulations
- Experience with RIA compliance procedures and documentation
- Practical experience with CIP and KYC processes and monitoring
- Excellent written and verbal communication skills
- Strong attention to detail and ability to manage multiple priorities
- Stakeholder engagement and cross-functional collaboration
- Process improvement and testing experience (e.g., WSP)
Responsibilities
- Conduct onboarding due diligence reviews for prospective and existing RIA firms
- Principal review and approval of Communications with the Public (CwP) materials
- Review and investigate flagged email communications
- Support and assist with annual Written Supervisory Procedures (WSP) testing
- Support AML processes including CIP, KYC, and money-movement monitoring
- Collaborate with business units to advise on compliance and internal guidelines
- Develop and implement process improvements to increase quality and scalability
- Establish program efficiencies and enhance team processes
- Perform additional duties as requested by the Chief Compliance Officer (CCO)
Education
- Bachelor's degree required
- FINRA Series 7 and Series 24 required
Benefits
- Base pay plus bonus opportunities, equity, and regional benefits
- Hybrid workplace with at least 3 days in-office per week
- Total Rewards package (medical, dental, vision varies by region/entity)
- Inclusive equal-opportunity employer and reasonable accommodations available
- Opportunities to work on high-impact regulatory and compliance programs
Average salary estimate
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