We are searching for a Compliance Manager/Officer within the General Counsel's Organization team, who is a hardworking self-starter motivated by achieving and exceeding goals in support of the Advice and Wealth Management (AWM) Compliance program. The analyst provides the development and maintenance of efficient compliance training materials and the performance of ongoing compliance guidance and support to compliance training projects (content, communications, testing and submissions).
You will work in a collaborative culture where you will interact with a diverse set of business partners. Come and demonstrate your flexible, creative, and detailed oriented skills. AWM Compliance is an organization that is committed to diversity and inclusion that supports work-life balance, structured mentoring, and career progression! Are you ready to get started and continue growing your career? Come apply today!
Key Responsibilities:
TRAINING DEVELOPMENT: Design and develop engaging training and learning materials by researching complex topics, partnering closely with business partners/leaders and subject matter experts, and translating requirements into clear, practical learning experiences. Serve as an instructional design advisor to the team, offering thoughtful recommendations to strengthen training quality and effectiveness.
MANAGE RELATIONSHIPS: Build strong, trusted relationships with business partners to ensure training solutions are learner-centric and effectively support compliance policies and procedures.
QUALITY CONTROL: Review and provide quality assurance for training developed by peers to ensure courses function as intended and deliver a consistent, effective learner experience. Oversee the end0to0end learner journey across training content, systems, and support touchpoints. Coach and mentor junior developers to build strong instructional design and development skills.
REGULATORY SUPPORT: Support business and regulatory needs by managing records retention and deletion requirements, maintaining electives and archives, and responding to audit, legal, and regulatory content requests.
PROJECT WORK: Participate in training-related projects as needed (set and attend project meetings, drive timelines to delivery, assist with gathering information, analyzing issues and submitting Adtrax submissions).
Required Qualifications:
Bachelor's degree or equivalent (4-years)
5-7 years of relevant experience in instructional design and development
Proficiency in Microsoft Office Suite (required), Articulate360 Suite (required), Vyond (preferred) and Adobe Creative Suite (preferred)
Self-starting/problem solving skills
Solid written and verbal communication skills
Relationship management
Strong organizational skills
In-Office Collaboration
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders 0 clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
Visa Sponsorship
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
Base Pay Salary
The estimated base salary for this role is $87,400- $120,200/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.
Full time
Exempt
Legal Affairs
GCO General Counsel's Organization
