Must have two 2 years of prior experience with compliance within the financial services sector; applying understanding of the current regulatory environment and financial markets andor securities regulation and rules, including FINRA 3270 and FINRA 3280 or similar regulations; Microsoft Excel, Power Point, and Word; writing summaries for management and hosting conference calls with managers to present on and propose solutions to complex compliance issues; defending compliancerelated decisions and analyses orally and in writing to business stakeholders and employees, including senior employees; and utilizing compliance technology systems and partnering with engineering teams to make system enhancements.br br CONTINUED FROM SECTION H.4BBachelors degree U.S. or foreign equivalent in Finance, Accounting, Management, Law or related field in business or law.
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