Director of Compliance - Boise, United States - Claire Myers Consulting

Description

What will you do in this role?The Director of Compliance supports the Managing Partner in shaping the culture of compliance in the office.

Youll be responsible for developing the supervision strategy and risk management approach for the office.

Youll be a member of the leadership team and will be a trusted compliance advisor to representatives within the office.

Youll draw from personal experiences to inform your work, evaluate risk, and anticipate needs of the office.

Finally, youll bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate and lead others.

Duties of the role include the following:

Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systemsComplete on-site inspections, client file reviews, and compliance-related interviews of Financial Representatives and their staffMaintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations as required by FINRAProvide a consultative and advisory role to Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirementsDevelop supervisory plans to address non-standard behavior or to address sales practice concernsHelp set the strategic direction of the Local Network Office compliance programTrain Financial Representatives and staff on compliance, regulatory, or related topicsKnowledge, Skills, Abilities:Active and valid FINRA Series 7, 9/10 and 63 registrations are requiredActive and valid FINRA Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63Active Life/Health licenses, or the ability to obtain within 3 months.5-7 years of industry experience with an emphasis on compliance/supervisionStrong working knowledge of standard industry and regulatory policies and proceduresSound decision-making skills; ability to use a mixture of analysis, experience, and judgment to arrive at a conclusion or recommendationAbility to identify issues, trends, and potential sales practices issues with the purpose of escalating or addressing themHighly detailed and data-oriented with solid critical thinking, organizational and analytical skills.

Ability to prioritize workload and seek support when appropriate, as well as work within a larger team.

Strong written and oral communication skillsExperience handling highly sensitive communicationsWhat makes you a great fit for our team?Orientation toward working independently with minimal guidanceHighly evolved communication and presentation skills across audiences and mediumsCollaborates with other leaders and integrates compliance into network office prioritiesSkilled in listening, partnering, and advocatingStrong relationship management skills with the ability to adapt approach to different peopleAbility to adapt quickly to the impacts of regulatory changes, environmental factors, or other miscellaneous policy or process changesJob Type:
Full-timePay: $90, $120,000.00 per yearBenefits:Dental InsuranceHealth insurancePaid time offRetirement planVision insuranceSchedule:Monday to Friday

Work Location:
In person#J-18808-Ljbffr