Regulatory Reporting and Compliance Specialist

Salary depends on experience
Posted on 11/17/17
Charlotte, NC
5 - 7 years experience
Business Services
Salary depends on experience
Posted on 11/17/17

Job Description:

Primary Responsibilities:

  • Coordinate audits, regulatory exams, and regulatory inquiries
  • Complete projects
  • Write self-identified audit issues
  • Respond to ad hoc requests
  • prepare operating metrics and perform a variety of management reporting

Additional Duties:

  • Manage operations regulatory compliance functions that typically have a high level of regulatory risk, monetary exposure and loss potential due to transaction size and daily production windows, which can impact client relationships
  • Manage daily activities ensuring adherence to deadlines and quality assurance standards and adherence to procedures and regulatory requirements
  • Develop and implement new processes and procedures to improve operating efficiency, timeliness and workflow coordination
  • Handle the receipt, response, and follow-up for regulatory inquiries
  • Coordinate and/or conduct due diligence in connection with regulatory inquiries
  • Participate in regulatory audits

Required Skills:

  • Bachelor’s Degreerequired
  • 5 years industry experience
  • Strong working knowledge of Microsoft Excel, Word, and PowerPoint
  • Excellent organizational, communication, and presentation skills.
  • Must be detail oriented with a strong ability for follow up
  • Proactive, Team Player
  • Ability to work independently
  • Regulatory compliance research
  • Strong negotiation, speaking and presentation skills
  • Excellent written communication skills, particularly business communications
  • Proficiency in all Microsoft Office products with working knowledge of mainframe administration applications
  • Must demonstrate ability to be assertive while maintaining diplomatic and professional demeanor
  • Knowledge of broker/dealer regulations is a plus.

Job number: 17053392

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