Senior Compliance Consultant

5+ years of broker-dealer compliance experience or comparable financial services industry experience
Extensive knowledge and understanding of broker dealer securities regulation (investment adviser/investment company a plus) and broker dealer operations
Understanding of investments, securities markets and securities distribution methods as evidenced by educational background, experience background and/or FINRA licenses
Self-starter and team-player
Capable of managing multiple tasks simultaneously
Demonstrate a flexible mindset and show resiliency when faced with setbacks and challenges
Possess excellent organizational skills with a disciplined approach to their work
Demonstrate strong written and verbal communication skills
Technologically proficient, with experience working with AI tools, Risk Management and Learning Management System (LMS) platforms, SharePoint sites, and Microsoft O365
Exhibits strong analytical and problem-solving skills
Possess a strong ethical compass that is aligned with the company’s values
Displays a desire to learn and be a continuous learner
Prefers a collaborative work environment and embraces a hybrid work arrangement
Ability to work collaboratively with cross-functional teams and internal business partners and stakeholders

Develop and implement the U.S. broker-dealer training and education program, including the Annual Compliance Certification, Annual Compliance Meeting, and Firm Element Continuing Education sessions
Lead the ongoing assessment of inherent regulatory risks applicable to our businesses and evaluate the strength of corresponding controls
Provide knowledgeable interpretation and analysis, in consultation with legal counsel, on regulatory matters affecting the distribution of private placements
Support the administration of policies and procedures designed to identify, assess, communicate, manage, and mitigate regulatory risks
Monitor the regulatory environment to assess risks applicable to our business and advise on the impact to policies and procedures
Provide compliance reporting to the Compliance Director, Chief Compliance Officer(s) and Global Compliance Office
Coordinate regulatory examinations of the Broker-Dealers and assist, as needed, with responses to regulatory inquiries
In conjunction with the Compliance Director, be responsible for the administration, maintenance, and relationships with third party vendor solutions used by the Department