Compliance Risk Manager

4 weeks ago


Cleveland, Ohio, United States Signature Estate & Investment Advisors, LLC Full time
Job Summary

We are seeking a highly motivated and detail-oriented Compliance Analyst to join our team at Signature Estate & Investment Advisors, LLC. As a key member of our Compliance Department, you will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.

Key Responsibilities
  • Perform risk and compliance assessments to identify potential areas of non-compliance
  • Develop and implement compliance programs to mitigate risks and ensure regulatory compliance
  • Conduct research and analysis to stay up-to-date on regulatory changes and industry developments
  • Prepare and submit regulatory filings and reports
  • Collaborate with cross-functional teams to ensure compliance with firm policies and procedures
  • Identify and implement process improvements to enhance compliance and efficiency
Requirements
  • Bachelor's degree in a related field (e.g. business, finance, law)
  • 1-2 years of experience in compliance or a related field
  • Series SIE, 7, 66 (or equivalent) certification within 6 months of employment
  • Series 24, 4, 53 certification within 1 year of employment
  • Strong analytical and problem-solving skills
  • Excellent communication and interpersonal skills
  • Ability to work in a fast-paced environment and prioritize multiple tasks
What We Offer
  • Competitive salary and benefits package
  • Opportunities for professional growth and development
  • Collaborative and dynamic work environment
  • Recognition and rewards for outstanding performance


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