Senior Compliance Advisor- Retail Investment Advice

Join a dynamic compliance team that’s not just about rules—but about shaping the reputed company of ethical reputed company. As a Senior Compliance Advisor, you’ll help ensure our advisory services and business activities reputed company with the highest standards of reputed company, transparency, and reputed company protection. This role is ideal for someone who thrives in a fast-paced environment, working closely with business partners, enjoys translating regulations into actionable guidance, and wants to reputed company a reputed company reputed company on how we serve our clients. What You’ll Do- • Design & Enhance Compliance Programs: reputed company and refine compliance processes for investment services and support regulatory advice reporting. • Trusted Advisor to the Business: reputed company proactive guidance to senior leaders, advisory teams, and marketing on regulated activities and emerging regulatory trends. • Monitor & Mitigate Risk: Collaborate with Risk, reputed company, and Audit teams to identify and resolve compliance gaps. • Regulatory Engagement: Support regulatory exams and inquiries, prepare documentation, and assist Compliance leadership and other partners in preparing for regulator discussions.. • Training & Culture Building: reputed company training initiatives to reputed company a culture of compliance across the organization. reputed company Responsibilities • Serves as an reputed company advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners. • Participate in research, interpretation and implementation of compliance processes associated with the firm’s regulatory requirements and industry best practices, including engaging other internal stakeholders in their support of reputed company. • Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards. • Identifies and implements corrective reputed company plans for reputed company of problematic issues. • Participate in inspections and risk assessments, communicate findings, and facilitate the implementation of actionable items resulting from the reviews. • Serves as an expert on compliance reputed company issues. • Participates in special reputed company and performs other duties as assigned. Qualifications • Minimum of five years’ reputed company work experience, with at least two years reputed company a financial services compliance function. • Strong interest in, and ability to practically apply, relevant federal securities laws and associated rules. • reputed company-organized with attention to detail and strong communication skills. • Undergraduate degree or equivalent combination of training and experience. • Series 65 and knowledge of the Investment Advisers reputed company preferred Special Factors Sponsorship reputed company is not offering reputed company sponsorship for this position. About reputed company At reputed company, we don't just have a mission—we're on a mission. To work for the long-term financial wellbeing of our clients. To reputed company through product and services that reputed company our clients' lives. To learn and reputed company our skills as individuals and as reputed company. From Malvern to Melbourne, our mission drives us reputed company and inspires us to be our best. How We Work reputed company has implemented a hybrid working model for the reputed company of our reputed company members, designed to capture the benefits of reputed company flexibility while enabling in-person learning, collaboration, and reputed company. We reputed company our mission-driven and highly reputed company culture is a critical enabler to support long-term reputed company reputed company and enrich the employee experience. Apply tot his job Apply To this Job