WM Field Compliance Advisory Coverage Specialist
Spring Valley Rd, United States
USD 70K-120K (estimate) Senior-level Full Time
Tasks
- Align and rationalize compliance conduct risk reporting
- Coordinate cross group themes observations and emerging issues
- Coordinate field integrated firm initiatives
- Coordinate quarterly FINRA SEC reporting narrative integrity and trend interpretation
- Establish communication framework for policy changes
- Execute voice of the field initiatives
- Maintain and enhance Tableau dashboards
- Oversee dashboard production and reporting
- Provide compliance advisory oversight
- Provide trade error management advisory guidance
- Serve as liaison for client segment risk conduct controls and governance
- Shape field AI governance framework
Perks/Benefits
- N/A
Skills/Tech-stack
AI Governance | Client Prospect Clearance | Conflict of interest | Dashboard Reporting | Data Analysis | Data Governance | Error Management | FINRA Regulations | Risk Assessment | SEC Regulations | Sales Practice Compliance | Suitability | Tableau | Trade Error Management
Education
Roles
Compliance Director | Compliance Officer | Director | Officer
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