Compliance Specialist

Our client is seeking a Compliance Specialist to join its Core Compliance team supporting broker-dealer compliance operations, regulatory administration, and enterprise compliance processes. This role will provide day-to-day operational and administrative support across a broad range of compliance functions while contributing to regulatory reporting, employee disclosures, governance initiatives, and process improvement efforts.The ideal candidate will possess strong organizational and communication skills, attention to detail, and the ability to manage multiple priorities within a regulated financial services environment.Key Responsibilities

• Support the Compliance team with responses to regulatory inquiries, examinations, and audits, including document collection, tracking, and record retention activities.
• Assist with administration of employee disclosure systems related to outside business activities, outside securities accounts, annual attestations, and related compliance obligations.
• Process requests related to employee and registered representative outside business affiliations and activities.
• Maintain and update regulatory organizational charts and compliance-related governance documentation.
• Manage advertising and sales literature record retention processes in accordance with regulatory requirements.
• Coordinate communications related to disciplinary events, waiver requests, and regulatory inquiries involving employees or registered representatives.
• Assist with scheduling qualification exams, coordinating study materials, and supporting licensing-related activities.
• Process periodic regulatory fees, assessments, and related administrative obligations on behalf of the firm.
• Support preparation activities related to branch and home office compliance inspections.
• Participate in compliance inspections locally or at off-site locations as needed.
• Assist with Compliance training initiatives and updates to written supervisory procedures and policies.
• Identify and implement process improvement opportunities across Compliance operations and related business functions.
• Lead or support special projects, operational initiatives, and ad hoc Compliance activities as assigned.

Qualifications

• Bachelor s degree preferred or 2+ years of relevant experience within financial services, Compliance, Operations, or related functions.
• Experience supporting projects, tracking deliverables, or coordinating operational initiatives preferred.
• Familiarity with policies, procedures, and regulatory documentation processes preferred.
• Strong attention to detail with excellent organizational and critical thinking skills.
• Excellent verbal and written communication skills with the ability to interact effectively across all levels of the organization.
• Strong interpersonal skills and ability to manage multiple priorities simultaneously.
• Proficiency with Microsoft Office applications including Excel, Word, and Outlook;Visio experience is a plus.
• Self-starter with the ability to work independently and manage responsibilities with minimal supervision.
• Experience within broker-dealer, Compliance, or regulated financial services environments preferred.