Position Summary:
This is a great opportunity to join Private Client Services Compliance team in the important role of a Compliance Support Specialist. Your role will be one that supports the compliance department in its corporate goals of protecting the firm, financial professionals and customers related to industry and firm policies and procedures. This role is responsible for maintaining compliance and control requirements for various key areas within the department including, but not limited to, preparing various content for firm principal review and providing support for ongoing compliance initiatives.
Essential Duties and Responsibilities:
- Support compliance with federal, state, agency, legal and regulatory as well as Corporate Policy requirements.
- Assist in monitoring a risk-based compliance program.
- Provide support to the CCO, Directors and Compliance Surveillance Officers with various compliance projects and initiatives.
- Support the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters.
- Identify and recommend opportunities for process improvement and risk control development.
- Build effective relationships with various teams.
- Under direction from leaders, exercise sound independent judgment while developing the knowledge to understand the role policies, procedures, and compliance requirements.
- Assist with administrative controls related to electronic communications, social media archiving, and other firm records.
- Provide support for other departmental tasks as needed.
- Assist in the compilation of various monthly and quarterly reports.
Qualifications:
- Bachelor’s Degree or equivalent work experience.
- 3 + years related experience within compliance and/or risk management preferred.
- Strong technical knowledge of Microsoft Office Products (Outlook, Word, Excel, PowerPoint)
- Strong analytical and critical thinking skills.
- Excellent verbal and written communication skills.
- Ability to manage multiple projects.
Job Type: Full-time
Pay: $49,500.00 - $67,400.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Employee assistance program
- Flexible schedule
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Professional development assistance
- Retirement plan
- Vision insurance
Application Question(s):
- Have you worked in compliance previously?
- Have you worked with a financial services company previously?
Work Location: Hybrid remote in Louisville, KY 40206
