Compliance Manager - Securities and Banking at Get It Recruit- Real Estate

Description

Join us as a skilled compliance professional with expertise in the securities and banking industries. This role offers a remote work option for the right candidate, where you will leverage your extensive experience to ensure that our compliance policies and procedures are current and effectively manage risks related to communication activities.

In this position, you will collaborate with senior members of the Compliance team and business management to navigate compliance risks, oversee testing assignments, and influence strategic decisions. Your expertise will be essential in maintaining strong relationships with internal stakeholders, industry peers, and regulatory agencies.

Key Responsibilities

• Oversee and integrate compliance programs for assigned business units to align with business processes.
• Monitor compliance for designated business groups and review investment guidelines to ensure adherence to investment policies.
• Mentor and train less experienced Compliance Specialists, potentially leading a team of junior compliance associates.
• Support and adjust existing programs, policies, and procedures as needed to manage risks effectively.
• Provide guidance on compliance issues and report any potential rule violations or liability concerns to Senior Compliance Management.
• Develop and maintain compliance policies and procedures, managing external compliance examinations.
• Make risk-based recommendations to senior management, prepare reports, and deliver presentations.
  
  

Qualifications

Knowledge and Skills

• Deep understanding of compliance monitoring, testing, audit practices, and relevant U.S. regulatory requirements.
• Familiarity with securities industry and/or banking compliance reviews, including regulations from the SEC, FINRA, and other regulatory agencies.
• Strong skills in overseeing compliance programs, coordinating complex activities, and developing training programs.
• Ability to make analytical decisions, conduct research, and prepare detailed reports and presentations.
• Proficiency in using office equipment and software applications.
  
  

Abilities

• Train, coach, and mentor team members effectively.
• Collaborate across functional areas to achieve objectives.
• Manage multiple tasks in a fast-paced environment with changing priorities.
• Communicate clearly and effectively with all organizational levels.
• Maintain confidentiality and stay current with industry regulations and best practices.
  
  

Education And Experience

• Bachelor's Degree in a related field and at least six years of experience in compliance or the financial services industry, or an equivalent combination of education and experience.
  
  

Licenses/Certifications

• No specific licenses required, though relevant series licenses and additional certifications are preferred.
  
  

Our Culture

We believe in a people-first culture where we value the uniqueness, experiences, and backgrounds of all our team members. We encourage professional growth, collaboration, and ownership in achieving results that matter. We are committed to diversity, equity, and inclusion, and we welcome applications from all qualified individuals.

Location and Benefits

• This position offers the flexibility of remote work.
• Full-time role with a day shift.
• Minimal travel required (approximately 5%).
• Competitive salary range of \(100,000 - \)110,000 based on education, experience, and location.
• Eligibility for discretionary bonus.
  
  

Employment Type: Full-Time