Compliance Senior Manager, Executive Reporting and Strategy
$31,200–$31,200 year
On-siteSt. Petersburg, Florida, United States
Job Summary
Lead coordination of materials for the Chief Compliance Officer's participation in Board and executive governance forums, synthesizing information across Compliance to ensure timely, accurate, and responsive deliverables. Partner with the VP responsible for Compliance strategy to support development, communication, and execution of priorities, including translating strategic goals into clear executive presentations and reporting. Manage quarterly governance reports, highlighting key initiatives and escalating risks to management while developing in-depth talking points for leadership meetings. Collaborate with cross-functional teams to gather, validate, and analyze Compliance data, identifying themes and opportunities for alignment to support strategic planning and decision-making. Streamline recurring reporting processes and maintain currency in laws and regulations related to securities industry compliance.
Required Qualifications
- Bachelor's degree (B.A. /B.S.)
- Minimum of eight (8) years of experience in Compliance and/or the financial services industry
- Advanced knowledge of concepts, practices, and procedures of securities industry and/or banking compliance
- Advanced knowledge of rules and regulations of Securities Exchange Commission (SEC)
- Advanced knowledge of rules and regulations of Financial Industry Regulatory Authority (FINRA)
- Advanced knowledge of rules and regulations of state securities regulatory agencies
- Advanced skill in gathering, streamlining and communicating complex information in a digestible way
- Advanced skill in creating reports, presentations and talking points for senior leaders
- Advanced skill in writing, editing and proofreading
- Advanced skill in making rule-based, analytical and strategic decisions
- Advanced skill in providing support and guidance for compliance efforts
- Advanced skill in reviewing materials for compliance with rules and regulations
- Advanced skill in researching compliance issues
- Advanced skill in Microsoft PowerPoint
- Advanced skill in Microsoft Word
- Advanced skill in Microsoft Excel
- Advanced skill in SharePoint
- Ability to see projects through from conception to successful execution
- Ability to absorb unfamiliar topics quickly and translate into executive-ready materials
- Ability to attend to detail while maintaining a big picture orientation
- Ability to partner with other functional areas to accomplish objectives
- Ability to use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels
- Ability to facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
- Ability to prioritize tasks and pivot quickly when necessary
- Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
- Ability to work independently as well as collaboratively within a team environment
- Ability to seek and implement constructive feedback
- Ability to troubleshoot problems and proactively suggest solutions
- Ability to provide a high level of customer service
- Ability to establish and maintain effective working relationships at all levels of the organization
- Ability to maintain currency in laws, rules and regulations related to compliance in assigned functional area
- Ability to quantitatively and/or qualitatively process data
- Ability to maintain confidentiality
- Less than 25% travel
- Hybrid workstyle
Desired Qualifications
- Eight (8) years of experience in Compliance and/or the financial services industry preferred
- Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred
- English major preferred
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