Compliance Risk Management Specialist

6 days ago


Rochester, New York, United States Emerge Full time

We are seeking a Compliance Risk Management Specialist to join our team at Emerge, a global talent solutions company. This role is a fantastic opportunity for a detail-oriented and organized individual to work in a fast-paced environment and contribute to ensuring compliance with all applicable rules and regulations within our industry.

Key Responsibilities:
  • Support the dually registered firm's Compliance department in performing day-to-day functional tasks, including reviewing and approving new account openings and requests related to current client accounts
  • Assist with employee licensing requirements and annual renewals, as well as monitoring and reviewing employee communications
  • Oversight of the firm's Compliance Calendar to ensure timely adherence to regulatory requirements
  • Collaboration on vendor due diligence processes and support in regulatory examinations and handling of other regulatory matters as necessary
Requirements:
  • Bachelor's Degree or equivalent experience
  • Valid FINRA Securities Industry Exam (SIE), Series 7, Series 24, and Series 66 Exams or ability to complete within 6 months of hire
  • Minimum of 2-4 years of experience with Compliance or Risk Management in regulated financial institutions and operational controls
  • Ability to manage several projects and deal with individuals at all organizational levels

In this role, you will have the opportunity to work closely with a small team and assume different tasks and responsibilities. If you are a motivated and detail-oriented individual with a strong background in Compliance or Risk Management, we encourage you to apply. Estimated salary: $60,000 - $80,000 per year.



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