Risk & Compliance Professional - Top Stack

Our client, a respected leader in the financial services industry is seeking a Risk and Compliance professional to support their distribution-compliance team. This role is integral to ensuring compliance with marketing material reviews, broker-dealer regulations, cross-border distribution, and anti-money laundering (AML) requirements.
Key Responsibilities:

• Review marketing materials for compliance with relevant regulatory standards (SEC, FINRA, etc.).
• Oversee email communications for investment adviser and broker-dealer compliance.
• Assist in managing the regulatory framework for broker-dealers and registered representatives.
• Collaborate with global teams to ensure cross-border distribution compliance.
• Contribute to the firm’s regulatory obligations, including analysis of existing and new regulations and testing the effectiveness of the broker-dealer compliance program.
• Ensure AML compliance, focusing on US and Cayman Islands regulations.
• Participate in ad hoc projects within Risk & Compliance.

Qualifications:

• Bachelor’s degree required.
• 1 plus years of experience in investment management.
• SIE and Series 7 certifications required
• Series 24 to be obtained within 90 days of start.
• Proficiency in Microsoft Excel, Word, and PowerPoint; Adobe Pro knowledge is a plus.
• Strong analytical skills with the ability to challenge processes when necessary.
• Excellent written and oral communication skills.
• Ability to prioritize and manage multiple tasks effectively.

Work Conditions:

• Hybrid work environment with a minimum of three days per week in the office.