Compliance Support Specialist

Position Summary:

This is a great opportunity to join Private Client Services Compliance team in the important role of a Compliance Support Specialist. Your main function in this role will be one that supports the compliance department in its corporate goals of protecting the firm, financial professionals and customers related to industry and firm policies and procedures. This role is responsible for maintaining compliance and control requirements for various key areas within the department including, but not limited to, preparing various content for firm principal review and providing support for ongoing compliance initiatives.

Essential Duties and Responsibilities:

• Support programs to drive compliance with federal, state, agency, legal and regulatory as well as Corporate Policy requirements.
• Assist in the oversight or monitoring of a risk-based compliance program.
• Provide support to the CCO, Director of Compliance and Compliance Surveillance Officers with various compliance projects and initiatives.
• Support the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management.
• Manage and ensure accuracy of data.
• Research regulatory rules and manage other registration team related projects.
• Identify and recommend opportunities for process improvement and risk control development.
• Establish and maintain effective relationships with various teams.
• Under direction from leaders, exercise sound independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements.
• Support other members of the Compliance Department related to Registration and Licensing, Email review, and other functions when required.
• Assist in the compilation of various monthly and quarterly reports.

Qualifications:

• Bachelor’s Degree or equivalent work experience.
• 3 years related experience within compliance and/or risk management preferred.
• Strong technical knowledge of Microsoft Office Products (Outlook, Word, Excel, PowerPoint)
• Strong analytical and critical thinking skills.
• Excellent verbal and written communication skills.

Job Type: Full-time

Pay: $40,000.00 - $60,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Flexible schedule
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Professional development assistance
• Retirement plan
• Vision insurance

Schedule:

• Monday to Friday

Work Location: Hybrid remote in Louisville, KY 40206