Compliance & Risk Specialist

Wenna Holdings Inc.; Minnesota; Vor Ort; USD 90.000 - 120.000; Vollzeit

Zusammenfassung

Wenna Holdings Inc. seeks a Compliance & Risk Specialist to protect integrity and regulatory adherence across trading activities. You will monitor surveillance, assess risks, and help maintain our compliance infrastructure.

The role requires a solid grasp of SEC/FINRA frameworks, strong analytical skills, and the ability to translate complex rules into practical controls. You will train staff and support audit processes within a financial institution.

Qualifikationen

• Bachelor’s degree in Law, Finance, or Business Administration.
• 3-5 years of experience in compliance or risk management within a financial institution.
• Deep knowledge of SEC, FINRA, and other regulatory frameworks.
• Strong analytical skills and the ability to interpret complex regulations.

Aufgaben

• Conduct daily surveillance of trading activities to ensure regulatory compliance.
• Assist in the development and implementation of risk management policies.
• Prepare and submit required regulatory filings and reports.
• Perform internal audits and risk assessments across various business units.
• Educate staff on compliance protocols and industry best practices.

Kenntnisse

Analytical skills

Interpreting regulations

Ethical standards

Ausbildung

Bachelor’s degree in Law, Finance, or Business Administration

JD or relevant compliance certifications (CRCP, CAMS)

Tools

Automated compliance surveillance systems

Quantitative risk modeling

Jobbeschreibung

The Compliance & Risk Specialist ensures that Wenna Holdings operates with the highest level of integrity and regulatory adherence. You will monitor trading activities, assess operational risks, and maintain our compliance infrastructure.

Responsibilities

• Conduct daily surveillance of trading activities to ensure regulatory compliance.
• Assist in the development and implementation of risk management policies.
• Prepare and submit required regulatory filings and reports.
• Perform internal audits and risk assessments across various business units.
• Educate staff on compliance protocols and industry best practices.

Qualifications

• Bachelor’s degree in Law, Finance, or Business Administration.
• 3-5 years of experience in compliance or risk management within a financial institution.
• Deep knowledge of SEC, FINRA, and other relevant regulatory frameworks.
• Strong analytical skills and the ability to interpret complex regulations.
• Uncompromising ethical standards and integrity.

Preferred Skills

• JD or relevant compliance certifications (e.g., CRCP, CAMS).
• Experience with automated compliance surveillance systems.
• Background in quantitative risk modeling.