Overview In this role, you ensure the accuracy and timeliness of employee financial disclosures and detect and resolve trading violations. You will represent the Ethics and Compliance Office in internal engagements and craft guidance content for Code of Conduct training. Working independently with high confidentiality, you'll handle complex scenarios, escalate when needed, and drive improvements in disclosure processes. A key focus is shaping training materials and communications that support investor protection and market integrity.
Compensation / Benefits- comprehensive health, dental and vision insurance
- 401(k) with company match and additional retirement contribution
- tuition reimbursement
- commuter benefits
- paid time off and holidays
- volunteer service days
Responsibilities- Respond to inquiries from FINRA employees and managers on disclosures and trading restrictions, including moderately complex cases
- Review disclosures for quality and compliance, address gaps, and escalate systemic issues with recommendations
- Consult with employees and managers on Code policy requirements and hardship waivers; document consultations in case management system
- Evaluate trading violations from surveillance and self-reports, calculate disgorgements, and propose resolutions within criteria
- Manage prohibited securities waiver requests, conduct hardship analyses, and monitor approved waivers for liquidation requirements
- Maintain and update the Prohibited Company List (PCL); collaborate with FINRA departments and technology partners to ensure data quality
- Develop written content on policies for Code Procedures and training materials; deliver roadshows to educate staff and managers on compliance
- Collaborate across teams and with technology partners to implement system improvements and address discrepancies
- Participate in development and testing of technology enhancements
Key requirements- Bachelor's degree in Finance, Economics, Business, or related field; minimum seven years in securities-related compliance
- Expert-level knowledge of securities and options products, transactions, and account types
- Excellent verbal and written communication skills
- Ability to manage multiple deadlines and priorities independently
- Strong analytical and critical thinking skills; ability to assess complex scenarios and propose solutions within criteria
- Proficiency in Microsoft Excel and Word; experience with Office Suite, Adobe Acrobat, Power BI; familiarity with Co-Pilot is a plus
- Experience with case management or compliance tracking systems; ability to collaborate with technology partners
- Ethics and Compliance certification preferred
- excellent verbal and written communication
- attention to detail
- independence and reliability
- Microsoft Excel
- Microsoft Word
- Power BI
