Become a vital Senior Business Conduct Compliance Analyst, focusing on regulatory adherence through effective examinations. Ensure compliance while communicating findings across teams in a hybrid work setting.
As a key member of the examination team, you will conduct field reviews to evaluate Dealer Member firms' compliance effectiveness. The role involves liaising with management and compliance teams to maintain open communication about regulatory expectations. Your analytical skills will be essential in documenting findings and implementing best practices within the compliance framework.
Key Responsibilities:
• Manage examinations of compliance effectiveness
• Conduct detailed walkthroughs of firm procedures
• Lead dialogues with senior management on compliance
• Compile reports with well-supported findings
• Monitor evolving regulations and industry standards
Requirements:
• 4+ years in compliance, audit or supervisory roles
• Required completion of ind...