Compliance Specialist - eFinancialCareers

Compliance Professional

Regulatory Compliance and Financial Administrative Professionals for US and London based financial services entity.

We are seeking to add to our staff and several positions are open within a variety of skill sets and experience.

These include:

• Part-time and full-time positions
• Administrative through senior positions
• Most are hybrid/WFH positions.

Depending on the role applied for, past experience may include:

• Chief Compliance Officer and/or other financial regulatory licensing in either UK or US
• Financial and Operations Principals (FINOPs) with a US FINRA Series 27/28
• Familiarity with FINRA, SEC, NFA, RIA and/or FCA regulatory compliance protocols, including AML Procedures, Written Supervisory Procedures, Business Continuity Plans and various regulatory filings such as Form CRS and Reg BI a plus
• Broker-dealer, investment firm, or Registered Investment Advisory experience a plus
• Past experience in a financial services entity such as a bank, securities firm or investment advisor
• For all positions, this is a client-facing role that requires being well-spoken with good telephone and writing skills
• Project management experience a plus
• Facility with MS Office software

We have an office in the United States and London and this can be a hybrid/WFH position in either location.

Positions based In the UK will be on a fixed term contract to start, with a contract extension and/or future permanent employment potential for the right individual(s).

Positions based in the US, will primarily be WFH positions.

We are particularly cognizant of parental schedules, provided the responsibilities are carried out; this position is perfect for parents returning to the workforce with prior financial services experience.