Sr Compliance Officer

Require interaction that will impact branch teams, and other home office areas while promoting a culture of compliance. Associates use conflict management, effective communication and problem-solving skills with financial advisors, branch staff, leaders, peers, and others in the firm. A Senior Compliance Officer has a relatively broad responsibility to deal with more complex situations which have implications for individual customers and / or business stakeholders. Associates assist in the creation and implementation of training materials as well as department, division, and firm communications related to compliance matters. They assist in the coaching and development of other team members. Project work often involves process improvement or analysis of business / regulatory changes. Responsibility Summary : Uses knowledge of the industry, regulatory and compliance environment and firm business functions and takes it into account when making decisions. Build relationships and collaborate wit...Compliance Officer, Compliance, Officer, Business, Regulatory, Business Services, Associate