Banking

Senior Compliance Specialist

Contract

Strategic Staffing Solutions

***S3 supports and adheres to customer COVID-19 vaccination policies, which may include the disclosure of vaccination status.***

Job Title: Senior Compliance Specialist (ONSITE)

Location: Charlotte, NC

Duration: 18 Months

To apply: Please email resume in Word Format to Keena Leo at: KLeo@strategicstaff.com and Reference Job Order #: 202768



Strategic Staffing Solutions (S3) is seeking a Senior Compliance Specialist for a longstanding partner in the Financial industry. Individuals in this role will work closely with other compliance officers to enhance and build effective surveillance modules across Fixed Income, Derivatives, Equity Products, and Structured Products among others. This role is 100% onsite in Charlotte, NC.  

Key responsibilities include:

  • Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
  • Oversee the Front Line’s execution and challenges appropriately on compliance related decisions. Provide oversight and monitoring of risk-based compliance programs.
  • Develop and oversee standards.
  • Provide subject matter expertise with comprehensive knowledge of business and functional area. Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area.
  • Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management.
  • Provide direction to the business on developing corrective action plans and effectively managing regulatory change.
  • Provide compliance risk expertise.
  • Consult for projects and initiatives with moderate risk for a business line.
  • Identify and recommend opportunities for process improvement and risk control development. Provide direction to the business on developing corrective action plans and effectively managing regulatory change.
  • Report findings and make recommendations to management appropriate committees.
  • Interpret policies, procedures, and compliance requirements.
  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals. Work with complex business units, rules and regulations on moderate risk compliance matters. Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements.

Required Qualifications:

  • 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
  • 4+ years of Trade Surveillance and Compliance experience.
  • Prior experience with surveillance applications: Actimize, Protegent Market Abuse, PTC and Trading Hub experience a plus.
  • Strong analytical skills with high attention to detail and accuracy.
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment.
  • Prior trading, sales, or operations experience.

$$ WE OFFER A REFERRAL FEE FOR ANYONE REFERRED & HIRED WITH S3! $$

Strategic Staffing Solutions (S3), based in Detroit, Michigan, prides itself on being an international, woman-owned, $300+ million IT and Business Services Corporation with 30+ years of service. We are ranked 16th among the largest staffing firms in the US by Staffing Industry Report, 6th largest IT Diversity staffing firm, and are one of five companies nationally certified as a Charter Partner with Staffing Industry Analysts. S3 provides IT consulting, customized project solutions, vendor management programs and executive search services to financial institutions, insurance, energy, oil/gas, telecommunication, government, retail, and health care industries worldwide.  We have more than 3,600+ consultants and 31 offices in the US and Europe. S3 is also proud to be nationally recognized as both a Military Friendly and Military Spouse Friendly Employer.

As an S3 employee, you are eligible for a full benefits package which may include: Medical Insurance, Dental Insurance, Vision Insurance, 401(k) Plan, Vacation Package, Life & Disability Insurance Plans, Flexible Spending Accounts, and Tuition Reimbursement.

The global mission of S3 is to build trusting relationships and deliver solutions that positively impact our customers, our consultants, and our communities.  The four pillars of our company are to: Set the bar high for what a company should do, Create jobs, Offer people an opportunity to succeed and change their station in life, and improve the communities where we live and work through volunteering and charitable giving.

Strategic Staffing Solutions is an Equal Opportunity Employer

to succeed and change their station in life, and improve the communities where we live and work through volunteering and charitable giving.

Job ID: JOB-202768
Publish Date: 30 Jun 2022

Tagged as: Senior Compliance Specialist