Compliance Officer I
About the Job
The Compliance Officer I - Generalist will support all aspects of compliance activities reporting to the Retail Sr. Compliance Manager.
The activities in scope include, but are not limited to:
• Customer Complaint Management
• Advertising and Marketing Compliance Review and Oversight
• Policy and Procedure Development and Advice
• Regulatory Examination and Inquiry Support and Tracking
• Quality Control Reviews
• Board, Committee, and Management Report Development
The Compliance Officer I - Generalist will also provide consultative support and advice to business line management regarding complex compliance and business concerns.
The Compliance Officer I - Generalist will identify, assess, implement and communicate regulatory issuances and when necessary, update policies and procedures for adequacy and accuracy.
The Compliance Officer I - Generalist will support the preparation for and the ongoing management of all regulatory compliance examinations for FINRA, the SEC and any State Regulatory Agency for broker dealer, investment advisor, and/or insurance products and firm activities. The candidate may also support regulatory inquiries from State and Federal regulators. Timeliness and coordination of competing priorities is critical.
Additionally, the Compliance Officer I - Generalist must maintain strong working knowledge of products and regulations and remain current with all applicable industry rules and regulations.