Senior Compliance Advisor

Position Description: 

Provides data analytics used in testing controls and processes across multiple business groups and provides feedback regarding regulatory risks to senior leadership. Applies new technology-based solutions by designing and implementing strategies that utilize analytics techniques, tools, and methods, to aid in reducing regulatory risk and ensure that regulatory requirements are met. Utilizes data analytics to meet requirements and improve overall compliance programs and processes, such as new regulation monitoring, policy administration, records management, and assessments.   

Primary Responsibilities: 

• Modernizes and improves crucial broker dealer program functions. 

• Functions as Subject Matter Expert (SME) for essential analytics and automation. 

• Leads efforts to implement data analytics and automation of control testing for long term success. 

• Evaluates opportunities for improvement through technological and data-driven solutions. 

• Recognize issues, assesses regulatory risks, and identifies items requiring escalation. 

• Presents complex issues to partners and senior leadership. 

• Interprets complex regulatory requirements and assesses controls, policies, and procedures to make recommendations for improvements. 

• Monitors latest regulatory changes and compliance technologies. 

• Manages multiple projects or activities to deliver results in an accurate and timely manner. 

Education and Experience: 

Bachelor’s degree (or foreign education equivalent) in Finance, Accounting, Information Technology, Information Systems, Cybersecurity, Business Administration, or a closely related field and five (5) years of experience as a Senior Compliance Advisor (or closely related occupation) interpreting rules and regulations and providing guidance on compliance matters in the financial services industry or at a regulatory agency. 

Or, alternatively, Master’s degree (or foreign education equivalent) in Finance, Accounting, Information Technology, Information Systems, Cybersecurity, Business Administration, or a closely related field and three (3) years of experience as a Senior Compliance Advisor (or closely related occupation) interpreting rules and regulations and providing guidance on compliance matters in the financial services industry or at a regulatory agency. 

Skills and Knowledge: 

Candidate must also possess: 

• Demonstrated Expertise (“DE”) interpreting complex financial industry regulatory requirements and assessing controls, policies, and procedures for the Broker Dealer, including Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and Municipal Securities Rulemaking Board (MSRB). 

• DE delivering program enhancements and technology solutions with manual processes and full population testing, using analytics and data visualization tools – Alteryx, Tableau, Oracle, and SQL. 

• DE identifying regulatory risks and root causes of compliance issues; developing corrective actions and recommending process changes; creating reports and presentations from systems of record, using Microsoft Excel dashboards and Tableau; and communicating with stakeholders and senior leadership to influence leadership decision-making using Microsoft PowerPoint and Excel. 

• DE conducting and coordinating advanced data analyses -- gathering, structuring, cleansing, regularizing, manipulating, and processing large data sets -- by transforming or mapping data using quantitative and qualitative data analysis tools (Alteryx and SQL). 

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