Regulatory Compliance Specialist – Financial Services

EisnerAmper; Owings Mills (MD); Hybride; USD 75 000 - 120 000; Plein temps

Avantages offerts par ce poste

Work-life balance

Top Places to Work awards

Hybrid work options

Résumé du poste

Prosperity - An EisnerAmper Company is seeking a detail-oriented Compliance professional to support the firm's regulatory compliance program and ensure adherence to laws, regulations, and internal policies. You will monitor activities, assist with examinations, and help identify risks in a collaborative environment.

The role emphasizes governance, ethics, and continuous improvement with opportunities to engage across departments and travel to firm offices as needed.

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 within a Registered Investment Adviser (RIA), broker-dealer, wealth management firm, or similar financial services organization (preferred).
• Working knowledge of SEC, FINRA, and investment adviser regulatory requirements (preferred).

Responsabilités

• Support the day-to-day administration, monitoring, and maintenance of the firm's regulatory compliance program.
• Assist with reviewing, updating, and implementing compliance policies and procedures to ensure alignment with regulatory requirements and firm standards.
• Maintain and monitor the compliance calendar, ensuring regulatory filings, internal reviews, and compliance obligations are completed accurately and on time.
• Review new account opening documentation to ensure completeness, accuracy, and adherence to regulatory and internal compliance requirements.
• Assist with regulatory examinations, audits, and information requests by gathering documentation, organizing records, and coordinating timely responses.
• Conduct due diligence reviews of vendors and third-party service providers, including monitoring ongoing compliance requirements.
• Review marketing, advertising, and client-facing materials to ensure compliance with applicable regulations and firm policies.
• Support the administration of the firm's Code of Ethics program, including employee attestations, personal trading reviews, and related compliance monitoring.
• Stay informed of regulatory developments and industry trends, helping communicate relevant updates and potential impacts to employees and management.
• Serve as a resource for employees regarding compliance-related questions, escalating potential concerns or regulatory issues when appropriate.
• Collaborate with internal stakeholders to identify opportunities for process improvements and strengthen compliance practices.
• Participate in special projects and other compliance initiatives as needed.
• Travel occasionally to firm offices and training events as required.

Connaissances

Attention to detail

Regulatory knowledge

Analytical thinking

Communication skills

Interpersonal skills

Formation

Bachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or related field

Outils

Microsoft Excel

Microsoft Word

Outlook

Description du poste

Prosperity - An EisnerAmper Company is seeking a detail-oriented Compliance professional to support the firm's regulatory compliance program and ensure adherence to laws, regulations, and internal policies. You will monitor activities, assist with examinations, and help identify risks in a collaborative environment.

The role emphasizes governance, ethics, and continuous improvement with opportunities to engage across departments and travel to firm offices as needed.