Compliance specialist [h1.location_city]
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Compliance specialist • quincy ma
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StoutBoston, MA, United States[job_card.full_time]
Compliance Specialist
M&T BankBoston, MA, US[job_card.less_than_1]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]Bachelor's Degree SIE, Series 7 preferred; ability to earn within 90 days 1-3 years' experience in compliance, legal, audit, risk or other relevant function OR in lieu of degree, a minimum of 5 years of relevant work experience, such as in compliance, trading or broker-dealer operations Strong analytical and problem-solving skills, as well as intellectual curiosity and investigative skills Ability to build relationships and collaborate with colleagues and business partners Strong verbal and written communication skills communications, including the ability to : Effectively and proactively communicate with persons of any professional level; and understand, explain and deliver urgent information Outstanding organizational skills Accountability and ownership of issues, with the ability to independently exercise sound judgment
Compliance Team Member
M&T Securities, Inc. is the institutional broker-dealer affiliate of M&T Bank. As a member of our Compliance team, you will serve an important role in promoting a culture of ethical conduct and commitment to compliance with securities regulation. You will have the opportunity to play an active role in other areas of Core compliance, including regulatory filings, assisting in regulatory inquiries, marketing reviews, on-going training and continuing education of employees, surveillance and regulatory compliance efforts in MTS' primary business units. Additionally, under the guidance of management, you will serve as a trusted advisor to our business, helping to protect the firm and its clients.
Primary Responsibilities :
- Assist with ongoing monitoring of employee communications, personal trading, and outside activities through the firm's surveillance platform.
- Assist with drafting, reviewing, and revising policies and written supervisory procedures.
- Assist with responses to regulatory inquiries and examinations.
- Assist in promptly addressing compliance questions from firm personnel.
- Research and interpret applicable FINRA, SEC, and other SRO rules as applicable to broker-dealer activities.
- Assist in review of controls in place that are designed to mitigate risks of non-compliance.
- Assist in the preparation of training materials to support employees in fulfilling their compliance obligations.
- Build and maintain positive relationships with key partners in Business, Compliance, Legal, and Risk.
- Escalate concerns / questions to management as appropriate.
Expertise and Skills Required
M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $72,200.00 - $120,300.00 Annual (USD). The successful candidate's particular combination of knowledge, skills, and experience will inform their specific compensation.
Boston, Massachusetts, United States of America