Regulatory Compliance Specialist

Job Responsibilities Execute and manage the mandatory suite of ~15 regulatory mailings required by local and country-specific non-KYC regulations.Ensure compliance with financial regulations from entities such as FINRA and SEC.Interpret and apply regulatory rules, including U.S. Privacy regulations and the SIPC Act.Monitor and mitigate risk by ensuring adherence to compliance standards.Track, analyze, and report key metrics and Key Risk Indicators (KRIs) to senior management.Collaborate with multiple teams and stakeholders to accomplish regulatory and business objectives.Prioritize tasks effectively to handle volume spikes, ad-hoc requests, and business demands.Build and maintain strong working relationships with Business Units, Compliance, and global colleagues.Address queries and provide timely responses to team members and users across different locations.Demonstrate accountability, ownership, and teamwork in all responsibilities.Conduct thorough research and investigations with a strong attention to detail.Escalate risks and issues to supervisors as needed.Ensure clear and effective communication across all levels of the organization.Manage multiple tasks and regulatory requirements under pressure.Utilize Microsoft Office Suite proficiently to support regulatory operations.

Created: 2025-02-20