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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance guidance and risk management within the financial services industry, with a strong focus on regulatory requirements and effective partnership with business stakeholders. Proficient in compliance monitoring, reporting, and supporting product development initiatives.
Highest-signal resume keywords
Compliance GuidanceRegulatory Risk ManagementFinancial Services ComplianceAnalytical SkillsCommunication Skills
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 Requirements InterpretationCompliance MonitoringRisk AssessmentCompliance ReportingDue Diligence ActivitiesRegulatory Examinations SupportPolicy DevelopmentAgile Project SupportInvestment Advisers Act KnowledgeERISA Knowledge
Soft Skills
Analytical SkillsOrganizational SkillsProblem-Solving SkillsInterpersonal SkillsPartnership Building
Industry Keywords
Financial ServicesInvestment AdvisoryBroker-DealerInsuranceRetirement PlansAnti-Money LaunderingDigital Financial ServicesCompliance ProgramRegulatory FrameworksEmployee Training
About the role
Key responsibilities & impact- Provide compliance guidance and support to assigned business units, legal entities, products, services, or strategic initiatives
- Partner with business stakeholders to identify regulatory risks and develop practical, risk-based solutions
- Support new product, process, technology, and business initiatives by identifying and addressing applicable compliance requirements
- Serve as a compliance resource for customer complaints, issue management, due diligence activities, trade errors, supervisory matters, and other regulatory concerns
- Support administration and enhancement of the compliance program, policies, procedures, and controls
- Assist with compliance monitoring, testing, and risk assessment activities
- Monitor regulatory and industry developments and evaluate their impact on business operations, policies, and procedures
- Support employee training, certifications, disclosures, and related compliance obligations
- Assist with compliance reporting and management information for governance committees, senior management, and stakeholders
- Support regulatory examinations, audits, inquiries, and internal reviews, including coordinating responses and tracking remediation
- Maintain documentation demonstrating compliance with applicable regulatory requirements
- Partner with Legal, Risk Management, Audit, Operations, Technology, Marketing, Product, and other business functions
- Participate in enterprise, segment, or departmental compliance initiatives and projects
Requirements
What you’ll need- 5–8 years of experience in compliance, legal, audit, risk management, or related functions within the financial services industry
- Knowledge of regulatory requirements applicable to financial services organizations, including investment advisory, broker-dealer, insurance, retirement, or related businesses
- Ability to interpret regulatory requirements and apply them to business activities in a practical and risk-based manner
- Strong analytical, organizational, and problem-solving skills
- Ability to manage multiple priorities in a fast-paced and evolving environment
- Excellent verbal and written communication skills
- Strong interpersonal skills and ability to build effective partnerships across business and control functions
- Preferred: experience supporting registered investment advisers, broker-dealers, wealth management, retirement, insurance, or digital financial services businesses
- Preferred: familiarity with the Investment Advisers Act of 1940 and related state and federal regulatory requirements
- Preferred: experience supporting product development, technology initiatives, or Agile project environments
- Preferred: knowledge of ERISA, retirement plans, privacy, anti-money laundering, or related regulatory frameworks
Benefits
Comp & perks- Flexible work environment
- Health, dental, mental health, and vision coverage
- Short- and long-term disability insurance
- Life and AD&D insurance coverage
- Adoption/surrogacy and wellness benefits
- Employee/family assistance plans
- Retirement savings plans, including pension/401(k) savings plans
- Global share ownership plan with employer matching contributions
- Financial education and counseling resources
- Up to 11 paid holidays annually
- 3 personal days annually
- 150 hours of vacation annually
- 40 hours of sick time annually, or more where required by law
- Statutory leaves of absence
- Incentive programs and incentive compensation tied to business and individual performance
- Reasonable accommodation during the application process