Compliance Operations Specialist - Remote

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.