Agency Supervisory / Compliance Officer

The Compliance Search   •  

Seattle, WA

Industry: Staffing & Recruiting


5 - 7 years

Posted 296 days ago

This job is no longer available.


We are looking for someone with the ability to help develop, enhance and maintain an effective compliance program. This person will:

-Offer guidance and serve as a primary point of contact for compliance related matters
-Will have a good understanding and maintain awareness of applicable regulations including Anti-Money Laundering, Privacy, Patriot Act, Cybersecurity, etc.
-Will have a good understanding of financial industry compliance policies, standards, and practice
-Provide guidance to various departments, with an understanding of the businesses’ product or service and the ability to assess the impact requirements will have on the department.
-Be able to identifying, investigating and escalating “red flags” or issues where a level of exposure may exist
-Escalating areas of non-compliance and ensuring that compliance risks are adequately identified, assessed, monitored, and reported; including working with associates to ensure corrective action plans are implemented
-Liaising with acquirers and internal/external auditors
-Educating and communicating compliance awareness to associates through guidance, training, and bulletins
-Proactively monitoring the financial and regulatory environment to stay abreast of developments which could impact the business
-Maintaining and updating, as required, policy changes and business/compliance documentation
-Develop and implement effective oversight testing and monitoring
-Conduct compliance reviews, identifying and addressing trends and concerns
-Following an annual compliance plan; tracking and reporting key deliverables and milestones


We need an organized and detail oriented self-starter who can hustle, and is comfortable functioning with minimal supervision. More specifically, we are looking for someone who has the following attributes:

-5+ years work experience in the financial industry or related field; with at least 3years experience in a compliance, legal or audit role
-Licensing: FINRA Series 7, 63 and 24
-General understanding of SEC, FINRA & State Securities Rules and Regulations
-Strong analytical skills and the ability to adapt to changes
-An understanding of regulatory and operational risks and controls and the ability to independently conduct compliance reviews
-A strong team player with well-developed leadership qualities -Strong interpersonal skills and an ability to establish rapport with everyone from sales and support to the leadership team and external auditors
-Good written and verbal communication skills with the ability to deliver effective presentations to various stakeholders