2 дня назад
Compliance Education Coordinator
70 000 - 80 000$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Compliance Education Coordinator (Securities Compliance): Designing and delivering annual compliance training programs, field bulletins, newsletters, and policy materials for Home Office employees and securities-licensed field agents with an accent on regulatory education, training coordination, and compliance communications. Focus on managing required training completion, addressing licensing and compliance risks, coordinating executive and subject-matter-expert reviews, and responding to complex compliance questions.
Location: Hybrid in Duluth, Georgia, with 3 days onsite and 2 days remote each week
Salary: $70,000–$80,000 annually
Company
provides financial services and supports a large sales force through regulated securities and compliance operations.
What you will do
- Design, coordinate, and implement annual compliance training for Home Office employees and field agents.
- Conduct training needs analyses, prepare scripts and program outlines, coordinate filming, and manage rollout to the field.
- Track training completion, address negative attestations, and coordinate suspension or termination processes for representatives who fail to complete required training.
- Develop and publish compliance newsletters, securities bulletins, event materials, and updates to the Compliance Page.
- Edit and coordinate updates to Firm Written Supervisory Procedures and lead annual reviews of primary procedures.
- Respond to compliance questions involving licensing, customer complaints, supervision, registrations, forms, policies, and related securities matters.
Requirements
- Bachelor’s degree in Communications, English, Finance, or equivalent experience.
- At least 1 year of experience managing projects and coordinating with multiple departments and employee levels.
- FINRA SIE, Series 6/7, and Series 24/26 licenses, or the ability to obtain them within 150 days of hire.
- Strong analytical, research, writing, communication, interpersonal, organizational, and judgment skills.
- Ability to manage multiple priorities, work independently and collaboratively, research complex issues, and propose solutions.
- Working knowledge of Microsoft Office products, including Word and Excel.
Nice to have
- FINRA Series 65/66 license.
- Experience with FINRA, the SEC, or state Departments of Insurance.
Culture & Benefits
- Day-one health, dental, and vision insurance.
- 401(k) plan with employer match.
- Vacation, sick, holiday, and volunteer time off.
- Life and disability insurance, Flexible Spending Account, and Health Savings Account.
- Professional development, tuition reimbursement, and company-sponsored social and philanthropy events.
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