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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance risk assessments, investigations, and audits, with a strong understanding of relevant laws and regulations. Capable of drafting reports and implementing corrective action plans while maintaining detailed documentation of compliance activities.
Highest-signal resume keywords
Compliance Risk Assessment ExperienceFINRA Series 7 RegistrationFINRA Series 24 RegistrationExperience Assisting With Compliance InvestigationsKnowledge Of Relevant Laws And Regulations
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance Risk AssessmentCompliance InvestigationsCompliance AuditsCorrective Action PlansCompliance Documentation
Soft Skills
Critical ThinkingDetail OrientationRelationship ManagementAdaptabilityStrategic Thinking
Certifications & Qualifications
FINRA Series 7FINRA Series 24
Industry Keywords
ComplianceRisk MonitoringCompliance TrendsPolicy RevisionsProcedure Revisions
About the role
Key responsibilities & impact- Support compliance risk assessments to identify issues, concerns, and deficiencies
- Assist with investigations involving complaints and potential violations
- Support the organization and implementation of compliance audits
- Assist in designing and implementing corrective action plans
- Draft reports on compliance and ethics initiatives
- Maintain documentation of compliance activities
- Assist with preventative measures, compliance processes, and policy and procedure revisions
Requirements
What you’ll need- 2+ years of work experience required
- University degree preferred
- FINRA Series 7 and Series 24 registrations
- Sedentary work capability
- Compliance risk assessment experience
- Experience assisting with compliance investigations and audits
- Knowledge of relevant laws, regulations, policies, and procedures
- Skills in compliance, risk monitoring, compliance trends, business process understanding, critical thinking, detail orientation, relationship management, adaptability, influence, and strategic thinking
Benefits
Comp & perks- Superior retirement program
- Competitive health, wellness, and work-life offerings
- Learning experiences and development pathways
- Incentive program linked to performance may be available, including annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans