Regulatory Compliance Specialist - Financial Services

Prosperity - An EisnerAmper Company; Minneapolis (MN); On-site; USD 70,000 - 100,000; Full time

Job summary

Prosperity – An EisnerAmper Company is seeking a Compliance professional to shape and execute the regulatory program for Retirement Plan Services. You will monitor compliance, review policies, and coordinate examinations while collaborating across teams to strengthen our control environment.

Qualified candidates will have a 3–5 year background in regulatory affairs within financial services, strong integrity, and experience with compliance monitoring.

Qualifications

• Bachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or a related field.
• 3–5 years of experience in compliance, regulatory affairs, audit, operations, or the financial services industry.
• Experience with SEC, FINRA, and investment adviser regulatory requirements preferred.

Responsibilities

• Support day-to-day administration, monitoring, and maintenance of the firm's regulatory compliance program.
• Assist with updating and implementing compliance policies and procedures to align with regulatory requirements.
• Maintain and monitor the compliance calendar, ensuring filings and reviews are completed on time.
• Review new account opening documentation for regulatory and internal compliance.
• Assist with regulatory examinations, audits, and information requests.
• Conduct due diligence reviews of vendors and third-party providers, including continuous monitoring.

Skills

Interpersonal skills

Attention to detail

Written communication

Verbal communication

Education

Bachelor's degree in Finance

Tools

Microsoft Office

Job description

Prosperity – An EisnerAmper Company is seeking a Compliance professional to shape and execute the regulatory program for Retirement Plan Services. You will monitor compliance, review policies, and coordinate examinations while collaborating across teams to strengthen our control environment.

Qualified candidates will have a 3–5 year background in regulatory affairs within financial services, strong integrity, and experience with compliance monitoring.