Financial Planning Administrator managing specialised administration support/services and client relationships at Progeny. Ideal for someone with 2+ years in financial services, offering growth opportunities.
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Hybrid Senior Associate, Regulatory Compliance – Financial Services
Posted 2 months ago
About the role
- Senior Associate in Regulatory Compliance team handling outsourcing projects for clients. Overseeing fieldwork and ensuring regulatory compliance in the financial services industry.
Responsibilities
- Work with clients and FS staff to fulfill engagement/relationship objectives, complete work within budgets, and coordinate resources to meet objectives.
- Develop an understanding of the client's business activities, processes, and associated risks.
- Coordinate timely completion of fieldwork with lead director and oversee work of assigned staff members.
- Prepare compliance reports.
- Work with Managers, Directors, and clients to address compliance issues.
- Keep up to date with the latest industry developments on regulatory compliance through ongoing formal and self-education.
- Provide ongoing technical assistance support to clients.
- Assist in the completion of other engagements/special projects or duties as assigned.
- Mentorship and training of staff.
Requirements
- Bachelor’s degree or equivalent work experience
- 3+ years of regulatory compliance experience
- CRCM, or other compliance certification, a plus
- Strong knowledge of the financial services industry, controls, and processes; prior financial services industry experience and/or regulatory experience a plus
- Strong understanding of regulatory compliance concepts
- Demonstrated track record of leading fieldwork for compliance testing
- Ability to lead and develop staff and complete assignments within required time constraints and deadlines
- Ability to travel
Benefits
- Flexible PTO (designed to offer flexible time away for you!)
- Up to 12 weeks paid parental leave
- Paid Volunteer Time Off
- Mental health coverage
- Quarterly Wellness stipend
- Fertility benefits
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