Brokerage Program Compliance Specialist
Texasonsitemid
Posted today · via Workday
About this role
This role offers a unique opportunity to support critical compliance activities while working with leaders across the organization to gather, analyze, and present information that helps drive informed decisions at the board and senior leadership levels. Core Responsibilities Participates in creating and updating written procedures and ensures manuals are current and properly distributed. Coordinates materials and maintains records on behalf of the Broker/Dealer and Advisory businesses. Prepares certifications and develops presentation materials for reporting to various boards. Responds to compliance inquiries, proactively recommends solutions, and serves as a system administrator for various compliance tools. Participates in special projects and performs other duties as assigned.…
What we'd score you on
reqspace match rubricFive dimensions, recruiter-grade. Upload your resume and we'll generate a written explanation of where you fit and where the gaps are.
1
Skills match
We compare your skills against the role requirements.
2
Level fit
This role is mid-level. We check your trajectory against it.
3
Domain experience
Your work in the role's domain matters more than your years total. We weight recent and direct experience.
4
Recency
A skill you used last quarter weighs more than one from five years ago. We grade on recency, not lifetime.
5
Location fit
This role is based in Texas. We weight your proximity and willingness to relocate.
Score yourself on this role.
Free · no card · written explanation included
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