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Mid-level, generalist compliance operations role in a metro with common skills increases competition.
Role requires financial-services regulatory and compliance experience, limiting cross-industry transferability.
Explicit 2–4 years, regulatory experience, and mandatory Excel/reporting requirements create moderate shortlisting filters.
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Support regulatory compliance, licensing, registration, and broker-dealer operations through operational activities and documentation management.
Maintain and distribute operational metrics, reports, and dashboards for Compliance Operations to monitor regulatory activities and performance.
Coordinate regulatory training programs, attestations, certifications, and deadlines, ensuring completion and compliance within service-level expectations.
Bachelor's degree in Business, Finance, Accounting, Information Systems, or related discipline, or equivalent professional experience.
2–4 years of experience in financial services, operations, compliance, business support, or related analytical role.
Experience working in a regulated or process-driven environment and supporting regulatory documentation, licensing, registration, or compliance operations.
Strong proficiency in Microsoft Excel, Word, PowerPoint; ability to manage multiple data sources and meet deadlines.
Experienced in financial services compliance operations, broker-dealer operations, or related regulatory support functions.
Skilled in developing and maintaining operational reports, dashboards, metrics, and/or Power BI visualizations.
Capable of coordinating cross-functional teams and managing multiple regulatory deadlines and recurring compliance activities.