Compliance

• Lead the 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 to financial professionals and alert management to potential violations
• Facilitate training and provide guidance on escalated audit deficiencies through resolution
• Deliver 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

Compliance jobs in Uruguay

Senior Compliance Examiner