Compliance Training and Development Specialist

Position Overview

We are seeking an experienced Compliance Training and Development Specialist to join our team. This critical role involves designing, implementing, and overseeing comprehensive compliance training programs to ensure that all employees adhere to the firm's regulatory and ethical standards.

Key Responsibilities

• Develop, design and update training materials, including presentations, manuals, and online courses, to address regulatory requirements and company policies.
• Conduct engaging and informative training sessions for employees at all levels, ensuring a thorough understanding of compliance obligations.
• Maintain records of training activities, monitor compliance with training requirements, prepare reports for senior management and regulatory bodies, and implement training improvement plans.
• Stay current with regulatory changes and industry best practices to ensure training content remains relevant and accurate.
• Identify areas of compliance risk and develop targeted training to mitigate potential issues.
• Work closely with stakeholders from other departments, including Legal, Risk Management, and Human Resources, to ensure a cohesive approach to compliance training and build a robust cross-functional training and development program.
• Collaborate with external training providers, industry associations, and professional organizations to offer relevant training opportunities and resources.
• Regularly evaluate the effectiveness of training programs and implement improvements based on feedback and assessments.
• Work with Internal Audit and Regulatory Exam teams on inquiries
• Act as a technical expert/ lead integrating cross-function understanding for training and development related areas
• Use sophisticated analytical thought to exercise judgement and identify solutions
• Work autonomously as the lead and guide others within area of expertise

Qualifications

• Bachelor's degree in a related field such as Business, Law, or Finance.
• 7 + years of experience in compliance, preferably within a broker dealer or financial services environment.
• 3 + years of experience designing, delivering, and managing training, learning and development programs.
• In-depth knowledge of regulatory requirements, including SEC, FINRA, and other relevant regulations, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements
• Strong project management abilities, including the capacity to plan, organize, execute, and evaluate multiple training initiatives concurrently.
• Ability to establish goals and objectives that support the strategic plan and direction of the function
• Ability to work collaboratively and build relationships across teams and functions
• Ability to analyze, organize and prioritize work while meeting multiple deadlines
• Strong presentation and public speaking abilities.
• Excellent written and verbal communication skills.
• Proficiency in developing and using e-learning tools and platforms.
• Proficiency in using computer applications including MS Office
• Detail-oriented with a strong focus on accuracy and quality.
• High level of integrity and ethical judgment.
• Ability to work independently and as part of a team.
• Adaptability to a fast-paced and dynamic work environment.
• Certifications: Relevant certifications such as Certified Compliance and Ethics Professional (CCEP) or similar are preferred.

Benefits

• Competitive salary and performance-based bonuses.
• Comprehensive health, dental, and vision insurance plans.
• 401(k) retirement plan with company match.
• Paid time off and holiday schedule.
Professional development and continuing education opportunities.

Primary Location: New York Full Time Salary Range of $150,000-$175,000.

#LI-MB1