Lead compliance initiatives as a Senior Compliance Specialist. Engage in onboarding, regulatory documentation, and operational alignment within a hybrid work culture to enhance compliance effectiveness.With 3-5 years in compliance or the financial sector, you will work within a Compliance team dedicated to risk mitigation and regulatory adherence. Key skills include knowledge of broker-dealer regulations, strong organizational capabilities, and effective communication to facilitate team collaboration.Key Responsibilities:• Manage regulatory onboarding for broker-dealer associates• Prepare and maintain compliance documentation• Collaborate with business units for regulatory efficiency• Assist in evaluating new business initiatives for risks• Monitor registration records for compliance accuracyRequirements:• Bachelor’s degree required• 3-5 years of experience in compliance or financial services• Understanding of banking and regulatory frameworks• Strong problem-solving and organizational skills• Excellent communication skills across teamsJoin a dedicated team to ensure thorough compliance practices while managing multiple priorities in a fast-paced environment.#J-18808-Ljbffr
Senior Compliance Specialist For Regulatory Oversight
SGS SOCIÉTÉ GÉNÉRALE DE SURVEILLANCE SA
montreal (administrative region), montreal (administrative region)
Published 27 days ago
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