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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in financial services compliance, regulatory requirements, and audit practices, with a strong focus on developing and implementing efficient procedures. Possesses excellent communication, organization, and analytical skills to effectively manage compliance initiatives and training.
Highest-signal resume keywords
FINRA Series 7 LicenseFINRA Series 24 LicenseFINRA Series 63 LicenseFinancial Services ComplianceAudit Practices
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory RequirementsAudit PlanningProcedure DevelopmentCompliance MonitoringAnalytical Skills
Soft Skills
Clear CommunicationOrganizational SkillsCritical ThinkingCollaboration SkillsCoaching Skills
Certifications & Qualifications
FINRA Series 65 LicenseFINRA Series 66 License
Industry Keywords
Compliance InitiativesFinancial Professional OfficesOn-Site AuditsVirtual AuditsContinuing Education
About the role
Key responsibilities & impact- Lead planning, development, and implementation of strategic Compliance department initiatives
- Develop and implement streamlined procedures and train team members on updated procedures
- Conduct on-site and virtual audits of financial professional offices
- Plan audit routes, schedule visits, and arrange flights, hotels, and rental cars
- Monitor adherence to internal policies, procedures, rules, and regulations
- Communicate regulatory updates and alert management to potential violations
- Facilitate training and guide team members through escalated audit deficiencies
- Provide Compliance support to management, company associates, and financial professionals
- Track open issues and follow up to ensure resolution
- Communicate pre- and post-audit results through formal written reports
- Follow up to confirm concerns are corrected within specified timeframes
- Maintain current knowledge of compliance regulations and industry topics
- Complete continuing education required for FINRA licenses
Requirements
What you’ll need- FINRA Series 7, Series 24, Series 63, and either Series 65 or Series 66 licenses
- Four or more years of related experience, education, and/or training
- Strong knowledge of financial services compliance, regulatory requirements, and audit practices
- Strong analytical and critical-thinking skills
- Clear, professional written and verbal communication skills
- Strong organization, planning, and time-management skills
- Sound judgment, attention to detail, and discretion when handling sensitive or confidential information
- Ability to work independently and make informed decisions
- Effective collaboration, coaching, and facilitation skills
- Process-improvement mindset and ability to develop and implement efficient procedures
- Flexibility and willingness to travel to financial professional offices as required
- Valid driver’s license
Benefits
Comp & perks- Premium benefit package including medical, vision, dental, life and long-term disability insurance
- Vacation/sick time
- 401K retirement plan with company matching program
- Eleven paid holidays
- Work/life balance promotion