Regulatory Compliance Specialist

2 weeks ago


Portland, Oregon, United States INSPYR Solutions Full time

Position:

Regulatory Compliance Specialist Enhance your prospects of a successful application by ensuring your qualifications align with the requirements.


Location:
Remote

Duration: 6+ month contract

Client:
INSPYR Solutions - Compensation: $25-28/hr.

Work Requirements:
US Citizen, GC Holders or Authorized to Work in the U.S.

Overview:

The Regulatory Compliance Specialist will collaborate closely with team members to address regulatory compliance issues related to broker-dealer operations, including the oversight of public communications, marketing practices, licensing and registration, customer complaint management, recordkeeping obligations, supervision, and regulatory submissions.

This role will act as the primary point of contact for the business concerning all compliance-related inquiries associated with broker-dealer activities. The Specialist will report to a supervisor within the Wealth Management Broker/Dealer Compliance division.

Key Responsibilities:
  • Support the Chief Compliance Officer (CCO) of the Wealth Management Broker/Dealer Entities in executing various compliance functions.
  • Evaluate marketing materials to ensure adherence to regulatory standards set by SEC, FINRA, and MSRB.
  • Serve as a resource for internal stakeholders regarding inquiries related to business communications.
  • Oversee existing compliance programs for the Broker/Dealer.
  • Review and assess risk evaluations and compliance program testing.
  • Analyze current compliance operations and propose enhancements and standardization where applicable.
  • Identify and recommend necessary modifications to business unit procedures to rectify compliance deficiencies or enhance adherence to regulatory and organizational standards.
  • Conduct all required functions and management reporting for FINRA Rules 3130.
  • Assist in the email review and escalation process, leading internal investigations as necessary.
  • Support regulatory examinations, audits, and the production of responses to regulatory inquiries.


Qualifications:

Hands-on experience with compliance-related matters such as examinations, audits, control oversight, annual reviews, branch examinations, and employee compliance issues.

Strong analytical thinking, problem-solving, research, and time management skills are essential.
Excellent verbal communication and interpersonal skills are required.
Preferred qualifications include FINRA Series 7 and/or Series 24 licenses.
Remote working options are available for this position.

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