Remote Otter LogoRemoteOtter

Compliance Operations Specialist - Remote

Posted 3 weeks ago

Overview

The Compliance Operations Specialist will be responsible for ensuring that clients adhere to FINRA requirements and assist in various compliance-related tasks, including reviewing documents and marketing materials.

In Short

  • Review written communication for FINRA compliance.
  • Assist with compliance Due Diligence and KYC/AML tasks.
  • Support account management teams with compliance solutions.
  • Maintain a knowledge base of legal and compliance questions.
  • Research and respond to inquiries from regulatory bodies.
  • Contribute to the digital transformation of compliance functions.
  • Provide feedback on improving compliance operations.
  • Pass FINRA exams within the first year.
  • Communicate effectively in English.
  • Work alongside attorneys and compliance officers.

Requirements

  • 2+ years of experience in compliance roles.
  • Exceptional written and spoken English.
  • Strong organizational and communication skills.
  • Ability to handle confidential information.
  • Experience with Google Workspace.
  • Systems thinking and efficiency evaluation.
  • Ability to work independently and manage priorities.
  • Flexibility and team spirit.

Benefits

  • 100% Remote work.
  • Competitive USD salary.
  • High-Speed Internet expenses allowance.
  • Generous Paid time-off.
  • 17 Flex Days for personal matters.
  • Professional Growth Benefits through E-Learning.
  • People Team Partner for career development.
  • Buddy Program for new hires.
  • Virtual After-Office Activities.
  • Diverse Culture & Inclusive environment.

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