Compliance Supervision Professional
5 days ago
As a Senior Compliance Specialist, you will have the opportunity to work with a talented team of professionals who are passionate about delivering exceptional results.
About the TeamThe Compliance Supervision Tier 1 team is responsible for ensuring the integrity of our compliance programs and maintaining the trust of our clients.
Key Responsibilities:
- Assist in the maintenance and administration of compliance reports and reporting as they relate to the Tier 1 Compliance Supervision Team
- Execute preliminary reviews of compliance related data using a risk-based approach across various platforms and escalate items of risk to the appropriate Manager for further review and assessment
- Collaborate with Compliance Supervision Team members on projects, activities, and other initiatives, including ad hoc team requirements
Requirements:
- 4+ years of experience in a financial services environment
- Completion of a post-secondary degree or diploma in a relevant business discipline
- Knowledge of regulatory compliance requirements in the financial services industry
- Proven analytical and problem-solving skills
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