Senior FINRA Compliance & Licensing Coordinator

SterlingBridge; Worcester (MA); On-site; USD 75,000 - 95,000; Full time

Benefits offered by this job

Generous Paid Time Off

Health & Dental Insurance

Life Insurance

Short & Long Term Disability

Garage Parking

Matching 401(k)

Pre-tax Medical & Dependent Care Reimbursement

Insurance licensing continuing education opportunities

Free employee networking events

Job summary

SterlingBridge is seeking a Compliance Coordinator in Worcester, MA, to oversee compliance activities and drive improvements within the organization. The role involves addressing compliance issues, training staff on regulations, and ensuring the organization meets broker-dealer requirements.

The ideal candidate will have at least 7 years of regulatory compliance experience and a BA/BS degree, with an MBA preferred. Active FINRA registrations such as Series 7 and 66 are necessary for this position, with several attractive benefits provided.

Qualifications

• 7 or more years’ experience in financial regulatory compliance leadership.
• Active FINRA registration including Series 7 and 66 is required.
• 5+ years Broker/Dealer knowledge industry experience.

Responsibilities

• Oversee the daily activities of the compliance organization.
• Identify and address compliance issues to ensure regulatory adherence.
• Provide training to staff on compliance systems and policies.

Skills

Financial regulatory compliance leadership

Broker/Dealer industry knowledge

Analytical skills

Microsoft Office proficiency

Education

BA/BS degree

MBA

Tools

Retail Systems

Albridge

Money Guide Pro

NetX360/Pershing

SunGard Trade Review Tool

Job description

SterlingBridge is seeking a Compliance Coordinator in Worcester, MA, to oversee compliance activities and drive improvements within the organization. The role involves addressing compliance issues, training staff on regulations, and ensuring the organization meets broker-dealer requirements.

The ideal candidate will have at least 7 years of regulatory compliance experience and a BA/BS degree, with an MBA preferred. Active FINRA registrations such as Series 7 and 66 are necessary for this position, with several attractive benefits provided.