Senior Compliance & Licensing Lead (FINRA/NMLS)

Charles Schwab; Phoenix (AZ); On-site; USD 123,500 - 212,850; Full time

Benefits offered by this job

401(k) with company match

Paid time for vacation and volunteering

Paid parental leave

Tuition reimbursement

Health, dental, and vision insurance

Job summary

A financial services company located in Phoenix, AZ, is seeking a Senior Manager in Compliance. This role focuses on registration and licensing, requiring deep expertise in regulatory requirements and collaboration with various business partners. Ideal candidates will have 5-10 years of experience in the financial services, along with skills in advanced Excel, Tableau, and SQL. The position offers comprehensive benefits including a 401(k) with company match, paid parental leave, and tuition reimbursement.

Qualifications

• 5-10 years of experience in the financial services industry, including direct experience in Securities, Futures, and MLO Registration.
• Ability to perform daily supervisory reviews of Employee Compliance processes and activities.
• Deep understanding of the regulatory environment and qualifications requirements.

Responsibilities

• Provide guidance on registration and licensing deficiencies.
• Collaborate with business partners, Human Resources, Legal, Risk, and Supervision.
• Identify the need for process improvements and communicate with IT partners.

Skills

Expertise in registration and licensing requirements (FINRA, NFA)

Advanced Excel

Tableau

SQL

Effective verbal and written communication skills

Education

Bachelor’s degree

Tools

WebCRD

FINRA Gateway

NFA ORS

Job description

A financial services company located in Phoenix, AZ, is seeking a Senior Manager in Compliance. This role focuses on registration and licensing, requiring deep expertise in regulatory requirements and collaboration with various business partners. Ideal candidates will have 5-10 years of experience in the financial services, along with skills in advanced Excel, Tableau, and SQL. The position offers comprehensive benefits including a 401(k) with company match, paid parental leave, and tuition reimbursement.