VP Compliance Training and Development Specialist
VP Compliance Training and Development Specialist
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$ 130000 - 170000
1 Vacancy
Job Description
Compliance Training and Development Specialist Position Overview
A highly regulated broker dealer firm is 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 firms 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 andimplement 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 crossfunctional 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 crossfunction 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
- Bachelors 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.
- Indepth 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 elearning tools and platforms.
- Proficiency in using computer applications including MS Office
- Detailoriented 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 fastpaced and dynamic work environment.
- Certifications: Relevant certifications such as Certified Compliance and Ethics Professional (CCEP) or similar are preferred.
Benefits
- Competitive salary and performancebased 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 Full Time Salary Range of $130000 $170000
Required Experience:
Exec
Employment Type
Full-Time
