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Summary

The Private Client Group (PCG) Compliance Consultant will serve an integral role in building the PCG Compliance program that caters to the community of advisors and firms serving our high net-worth clients. Our objective is to proactively mitigate barriers and align policies to meet the needs of this unique population. This individual will work with internal business partners throughout the Home Office and will establish relationships with PCG advisors, their teams, and field leaders to advance the program. Some field travel is expected.

Primary Duties

Design program framework, blending PCG and Compliance strategies
Build rapport and conduct interviews with PCG advisors, their teams, Managing Partners, and Field Supervisors to obtain feedback necessary to identify key focus areas
Analyze data sets to make informed decisions and identify priorities
Understand existing, changing, and new regulations to independently assess and consult to the mitigation of risk with enterprise business partners across a wide range of compliance topics
Navigate complex and unique compliance risk issues in collaboration with business partners and effectively communicate across enterprise stakeholders to ensure alignment
Create pilot initiatives with an emphasis on training materials and change management integration
Draft and present modified policies to Enterprise Compliance, PCG leadership, and the field
Ongoing consulting on behalf of the program to internal and field partners

Qualifications

Bachelor's Degree Preferred or equivalent combination of education and experience preferred
Minimum of 4 years of relevant experience: Experience in insurance, investment, or financial services industry preferred
Knowledge of Microsoft Office with strong emphasis on Excel proficiency
Strong organizational leadership presence and proven ability to cultivate relationships and influence individuals at all levels of the organization
Sound decision-making skills; ability to use a mixture of analysis, experience, and judgment to arrive at a conclusion or recommendation
Ability to communicate complex ideas, anticipate potential objections and persuade others, often at senior levels, to adopt a different point of view
Ability to prioritize workload and seek support when appropriate
High degree of personal initiative and motivation with the ability to work independently

Skills-Proficiency Level

Effective Communication - Advanced

Data Analysis - Intermediate

Field Consulting - Advanced

Negotiation - Intermediate

Regulatory Requirements - Intermediate

Relationship Building - Advanced

Risk Analysis - Intermediate

Risk Management - Intermediate

Technology Adoption - Intermediate

Site Inspections - Advanced
Technology Adoption - Intermediate

Candidates must successfully complete and pass any required testing. This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

Required Certifications:

Series 24 - FINRA, Series 7 - FINRA, SIE - FINRA

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W e are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.

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