Senior Compliance Advisor shaping compliance strategy for investment products in a fast-paced environment. Advising on regulatory expectations while fostering a culture of compliance.
Responsibilities
Serve as the subject matter expert on Regulation Best Interest
Develop and refine compliance processes for investment products
Provide proactive guidance to senior leaders and product teams
Conduct targeted testing and oversee internal audits
Support regulatory exams and inquiries
Requirements
Minimum of five years related work experience
At least two years within a financial services compliance function
Undergraduate degree or equivalent combination of training and experience
Series 65 preferred
Benefits
Hybrid working model
Training initiatives to embed a culture of compliance
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