Compliance Consultant

Nationwide

Location: Columbus Ohio potential Work From Home

Job Details

This position is a critical role in NF Compliance holding the responsibility for reviewing financial professionals’ activity surrounding the use of electronic and social media surveillance. As well as reviewing new systems, applications and tools the business wants to put in place.  This individual will complete system testing, as well as the annual Compliance Control Assessment Testing of the Firms’ business model.  They will monitor activities within all parts of the broker dealers and investment advisory organizations on a regular basis to ensure that business is conducted in accordance with regulatory requirements and follow-up on any actual or potential problems to ensure that corrective action is taken when necessary.  This individual  will also be responsible for completing case reviews for potential sales conduct issues of our third-party distribution partners.   In addition to the testing outlined above this position will also complete risk assessments for the department.  This individual will also be responsible for responding to regulatory inquiries and exam requests that come in regarding the use of electronic and social media for the business lines my team supports.  They will be a part of the Data Analytics Program working on process improvement with the team to enhance our surveillance review processes and reporting for NF Compliance.

Qualifications

Candidates must have advanced knowledge of regulations that govern broker dealer and investment advisors as it relates to the use of electronic communications.   They need organizational skills, ability to multi-task, a strong attention to detail, conflict resolution skills, and an aptitude for the use of data analytics tools such as R, Python and/or Tableau.   A knowledge of the NF business organizational structure is a plus.  Although not required, it is preferred that the associate hold FINRA Series 7 and 24 licenses or acquires them.