THE TEAM YOU WILL BE JOINING:

• Fortune 100 Financial Services Company
• 100-year history of dedication to customer satisfaction, success and growth
• Tremendous growth and new business strategy leading to the need for new talent
• Significant investments in cutting-edge technology

• Culture: Excellent work environment that fosters collaboration
• Growth: Ability to make an impact on the direction of the organization
• Opportunity: Gain hands-on experience working with cutting-edge technology
• Stability: Recent financial performance of the company has reported record profits

• Manages compliance risk assessments to identify compliance issues, concerns, and deficiencies.
• Developing, initiating, and revising policies and procedures for the general operation of the business unit's compliance program and its related activities.
• Developing, initiating, and revising policies and procedures for the general operation of the business unit's compliance program and its related activities.
• Developing, initiating, and revising policies and procedures for the general operation of the business unit's compliance program and its related activities.
• Conducts complex investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures.
• Monitoring compliance and ethics initiatives of the business unit and providing guidance for the management team on matters relating to compliance.
• Manages organization and implementation of compliance audits.
• Oversees development and implementation of corrective action plans to resolve problematic compliance issues, ensuring that compliance deficiencies are corrected and providing guidance to management on how to avoid or handle similar situations in the future.
• Reviews and approves reports on the results of compliance and ethics initiatives of the business unit, and communicates key takeaways from reports to management.
• Develops and implements preventative measures and compliance processes, identifies opportunities to improve the communication, monitoring, and/or enforcement of business unit compliance programs, and recommends relevant revisions of policies and procedures to improve the general operation of business unit compliance programs to management.
• Coaches, reviews and delegates work to lower level team members.

• 5+ years of previous experience
• Ability to manage the execution of the data activities, including tactical administration of quarterly employee certifications, monitoring trade and other ethics transitional requests