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This newly created advisory role will essentially make sure the firm is conducting business in accordance with federal & state rules and regulations as well as internal policies and industry best practices. You will serve as subject matter expert and primary point of contact for all advisory compliance matters. This is a newly created role which will play a key role in the team build out.
The ideal candidate will have:
Bachelor's degree required, J.D. preferred;
Proven Regulatory Advisory Compliance experience in financial services;
Experience with Reporting and Tracking in order to manage internal risk exposure;
Experience analyzing, revising, implementing and enforcing compliance risk frameworks and policies & procedures with the business;
Support the development, rollout, and maintenance of selected training courses about firm-wide policies;
Ability to work independently while understanding when to involve other groups or team members.
The position will suit a highly motivated, entrepreneurial professional with an appetite to learn. You will need to possess a strong academic profile, excellent organizational & communication skills and the ability to work with moderate supervision.
Compensation is competitive and commensurate with industry experience.
For a more detailed conversation in confidence, please apply with your resume.
Internal Number: 8447938
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