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Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates advanced knowledge of compliance laws and regulations within the financial services or insurance industry, providing guidance and oversight to ensure adherence to regulatory requirements. Effectively communicates compliance risks and recommendations while fostering a culture of integrity and sound judgment.
Highest-signal resume keywords
Compliance Risk ManagementRegulatory Compliance ExpertiseSecurities Licenses 7 And 24Experience In Highly Regulated EnvironmentsAdvanced Microsoft Office Skills
About the role
Key responsibilities & impact- Provide independent second-line oversight and guidance to ensure business products, services, and processes comply with regulatory requirements
- Partner with the business and key stakeholders to identify and manage compliance risk
- Promote a strong culture of compliance, integrity, and sound professional judgment
- Coordinate market conduct examinations and data calls
- Guide the business on documents, projects, processes, and product initiatives to align with regulatory and legal requirements and enterprise policy
- Synthesize analyses, identify root causes of potential compliance risk, provide recommendations, and validate resolution
- Review implementation planning for new laws and regulations and ensure appropriate parties are engaged
- Communicate information and positions clearly, concisely, logically, and in an organized manner
- Implement compliance risk management activities according to enterprise compliance policies and procedures
- Collaborate with Underwriting, Claims, State Management, Enterprise Licensing, and Legal departments
Requirements
What you’ll need- Bachelor's degree; OR 4 years of relevant education and/or experience
- 6 or more years relevant experience in compliance, risk, legal or audit within the financial services or insurance industry or specialized technical fields directly related to the role
- Demonstrated experience working in a highly regulated environment
- Advanced knowledge in a specific area of compliance laws, regulations, and regulatory expectations
- Demonstrated ability to apply advanced knowledge of regulatory compliance to consult and provide insight and guidance
- Advanced knowledge of Microsoft Office tools including Word, Excel, and PowerPoint
- Experience providing guidance and best practices to team members
- Securities licenses 7 and 24
- Experience working and communicating with regulators
- Familiarity with FINRA rules and requirements
- Testing or audit experience in financial services
- Must not require immigration support or visa sponsorship
Benefits
Comp & perks- Pay incentives may be available based on overall corporate and individual performance, at the discretion of the USAA Board of Directors
- Comprehensive medical, dental and vision plans
- 401(k)
- Pension
- Life insurance
- Parental benefits
- Adoption assistance
- Paid time off program
- Paid holidays
- 16 paid volunteer hours
- Various wellness programs
- Career path planning
- Continuing education assistance
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 ManagementRegulatory ComplianceRisk AssessmentData AnalysisImplementation PlanningAudit ExperienceMarket Conduct ExaminationRoot Cause AnalysisBest Practices GuidanceRegulatory Insight
Soft Skills
Clear CommunicationCollaborationProfessional JudgmentProblem SolvingTeam Leadership
Tools & Technologies
Microsoft WordMicrosoft ExcelMicrosoft PowerPoint
Certifications & Qualifications
Securities License 7Securities License 24
Industry Keywords
Financial ServicesInsurance IndustryFINRA RulesRegulatory RequirementsCompliance Culture