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
Related jobs
-
Director, Marketing Insights & Analytics USD 40K-100KAutomation | Business Intelligence | Conversion Rate | Conversion rate optimization | DAXCareer growth opportunities | Community and charity initiatives | Employee assistance program | Inclusive team environment | Learning and developmentExecutive-level Full TimeThree Alliance Center, United States1d ago
-
Senior Director, AI Enablement USD 227K-280KAI Governance | AI Risk | AI risk management | Artificial Intelligence | AutomationEquity participationSenior-level Full TimeRemote - United States R1d ago
-
director, engineering – Data Governance & AI Experience USD 170K-259KAI Ready | AI-Ready Data | AI-ready data pipelines | Agent Frameworks | Batch ProcessingExecutive-level Full Time2401 Utah Ave S #800, Seattle, …1d ago
-
Sr. Director, Analytics USD 100K-135KAd Serving | Ad trafficking | Adobe Analytics | Channel measurement | Cross-channel401k participation | Career development | Dental insurance | Dog-friendly offices | Flexible PTOSenior-level Full TimeAtlanta, GA1d ago
-
Director, Credit Risk Analytics & Capital Markets USD 240K-270KAI | Advanced Analytics | Alternative data | Capital Markets | Credit Enhancement401k match | Employee assistance program | Employee care fund | FSA | HSAExecutive-level Full TimeTempe, AZ, United States R1d ago
-
Behavioral analytics | Budget Management | Competitive Intelligence | Data Analysis | Formulary data401k | Paid time offMid-level Full TimeMettawa, IL, United States1d ago
-
Analytics | Budgeting | Compliance | Data Analysis | Executive reportingExecutive-level Full TimeChicago, IL, United States1d ago
-
Director, People Technology & Analytics USD 145K-207KAgile | Change Management | Dashboarding | Data Governance | Digital TransformationEntry-level Full TimeBoston, MA, United States1d ago
-
Director, Data Governance & Standards USD 140K-165KAudience Analysis | Automation | CRM | Change Management | Data AnalysisExecutive-level Full TimeNew York,US-NY,United States1d ago
-
IT Data Analytics Director USD 179K-270KAWS | Artificial Intelligence | Azure | CI/CD | Cloud ComputingExecutive-level Full TimeHouston, TX, US, 770421d ago
-
Director, Digital Marketing & Consumer Analytics USD 145K-190KAnalytics Consulting | Big Data | CRM | Customer Analytics | Data GovernanceExecutive-level Full TimePortland, OR, US R1d ago
-
Director, Product Analytics & Insights USD 164K-190KAI-powered analytics | Alteryx | BigQuery | Dashboards | Data schemasBirthday Bonus Day | Health & wellness days | Holiday and Vacation Time | Medical, dental & vision coverage | Remote work flexibilityExecutive-level Full TimeChicago, IL, United States R2d ago
-
Director AI Strategy & Intelligent Automation USD 170K-300KAPI | Agentic Workflows | Artificial Intelligence | Cybersecurity | Data GovernanceExecutive-level Full TimeWilmington, DE, United States2d ago
-
Director of Enrollment USD 153K-153KAppeals Management | Attendance tracking | Audit preparation | Compliance Management | Customer ServiceComprehensive benefits package | Professional development opportunities | Supportive work environment | Team connection and learning opportunitiesExecutive-level Full TimeFremont2d ago
-
Robotics Safety & Compliance Lead USD 115K-168KCause analysis | Compliance Management | Corrective and Preventive Actions | Incident Management | Operating proceduresSenior-level Full TimeCA Client Field Office (San Fran …2d ago
-
Director, Global Design and Construction Data Analytics USD 177K-265KAccess Control | Analytics architecture | Artificial Intelligence | Automation | Data GovernancePaid time offExecutive-level Full TimeDallas Infomart Office DAI, United States2d ago
-
Director, Decision Science Analytics USD 164K-314KAudience Activation | Audience Segmentation | Clean rooms | Clickstream analytics | Cloud analytics401k | Adoption Assistance | Continuing education support | Hybrid flexibility | Life insuranceExecutive-level Full TimeSan Antonio Home Office I, United …2d ago
-
Enterprise Tableau Account Director, State and Local Gov USD 155K-208KAccount Management | Analytics | Business Intelligence | Data Analysis | DatabasesDonation matching | Flexible time off | Monthly wellness allowance | Paid volunteer days off | Parental benefitsExecutive-level Full TimeVirginia - Mclean, United States2d ago
-
Director, Data Engineering and Business Applications USD 158K-200KAPI Integration | AWS Glue | Apache Airflow | Apache Spark | Application Management401k match | EAP | External Learning | HSA contribution match | Healthcare benefitsExecutive-level Full TimeFlorida Remote, United States R2d ago
-
Brand Analytics | Budget Management | Business Intelligence | Competitive Intelligence | Customer Insights401k match | Employee stock purchase plan | Fitness and wellness programs | Paid Holidays | Paid maternity and parental leaveSenior-level Full TimeCambridge, MA, United States2d ago
-
API Integration | Agile | Analytics engineering | Business Intelligence | CI/CDSenior-level Full TimeUS - Home-Based - PA, United … R2d ago
-
Director, Scientific Data Platforms Lead USD 176K-294KAPIs | AWS | Automated testing | Azure | CI/CD401k matching | Health insurance | Hybrid work | Paid caregiver/parental and medical leave | Paid holiday and personal daysSenior-level Full TimeUSA - CT - Groton, United …2d ago
-
Advanced Analytics | Analytics Dashboards | Benchmarking | Budget Forecasting | Capacity forecastingSenior-level Full TimeUS CA San Diego, United States2d ago
-
AI | Automation | Data Analysis | Data Visualization | ForecastingEmployee resource groups | Professional development opportunities | Workplace flexibilityMid-level Full TimeBoston, Massachusetts, United States R2d ago
-
CTO, Data Platforms USD 175K-245KAI Ready | AI-Ready Data | Apache Airflow | Apache Hudi | Apache IcebergClient-facing leadership | Hybrid workSenior-level Full TimeUSA (Remote) R2d ago