Compliance Policies and Procedures Specialist

Grove Point Financial
Rockville, MD
Nov 24, 2021
Nov 26, 2021
IT, QA Engineer
Full Time
SummaryThe Specialist will be responsible for drafting, editing, and maintaining the Firm's written supervisory procedures, policy manuals and standard operating procedures. They will liaise with the Marketing Department to create and edit policy notices and compliance department communications and ensure quality control measures are followed to achieve consistency across all policies and procedures. The Specialist will work with department managers to identify missing or inconsistent procedures.Essential Functions As AssignedAct as the subject matter expert for the Firm's primary Written Supervisory Procedures, Guides, and Manuals, which include the Broker-Dealer and Investment Advisor Home Office Compliance Manuals, the Broker-Dealer and Investment Advisor Representative Manuals, and any additional primary manuals added thereto.Review, edit and track changes to the Firm's primary manuals, coordinate approval of the amendments and maintain documentation of the same.Assist with the creation and amendment of standard operating procedures.Maintain a log of standard operating procedures.Provide support and guidance to all departments of the firm, field representatives and branch office staff regarding the Firm's written supervisory procedures.Manage the Compliance Communications process in coordination with the Firm's Marketing Department.Assist with any other functions or projects as assigned.Knowledge, Skills And AbilitiesExcellent written and verbal communication skills. Strong analytical and organizational skills.Ability to work individually or with a team and meet all assigned deadlines.Ability to handle numerous tasks at one time with accuracy and detail.Ability to facilitate procedure related conference calls, committees, and projects.Demonstrated knowledge of Regulatory requirements (FINRA, SEC, state) firm business processes and practices.RequirementsBachelor's degree or a combination of work experience/education.Two or more years of related work experience in a securities firm, financial services organization, regulatory, compliance or similar role.FINRA registration(s) a plus.Computer skills, including spreadsheet, database and word processing software programs. Must be proficient in using these toolsPowered by JazzHRTTsh5YwQM3