Posted By
Mousumi Das
HR at Waytogo Consultants
Posted in
Banking & Finance
Job Code
1450841
Key Responsibilities:
- Supervising and assisting with broker-dealer and investment adviser examinations and testing, as assigned, focusing on branch office inspections per FINRA Rule 3110
- Researching and responding to compliance questions from staff and clients
- Supervising a team of examiners
- Reviewing peer work deliverables and projects
- Completing direct report assessments on at least a semi-annual basis
- Conveying examination and testing results to clients and peers in a professional, sensitive, and clear manner
- Updating exam template worksheets and reports
- Assisting the department with improving examination programs to develop and enhance the examination process
- Assisting with coordinating exam schedules for clients
- Staying abreast of FINRA/SEC rules and guidance changes
- Conducting oneself in a professional manner
- Reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
- Performing other tasks and projects, as assigned
Qualifications (Personal, Educational, Experience):
- Bachelor's Degree or equivalent work experience
- Minimum 4 years of related experience conducting examinations for a broker-dealer, registered investment advisor or regulator and a demonstrated knowledge of the financial industry
- Proven knowledge of FINRA, SEC, MSRB and state regulations
- Previous licensing (i.e., Series 7, 24) preferred, but not required
- Excellent oral and written communication skills
- Detail-oriented and multi-tasking capability
- Ability to lead and supervise a team
- Independent Self-Starter - the ability to organize workload and meet deadlines
- Service orientation with proven ability to provide superior client service
- Understanding of and demonstrated ability in use of web-based technology applications; willingness to provide input in enhancements and new solutions
- Ability to work both independently and as part of a team
- Proven success in organizing priorities while maintaining highest level service possible to clients, and managing projects and goals within deadlines and a strong attention to detail
- Prior experience in identifying products and services that could add value to client relationships
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Posted By
Mousumi Das
HR at Waytogo Consultants
Posted in
Banking & Finance
Job Code
1450841