Regulatory Reporting & Documentation
Ability to prepare and deliver compliance reports (e.g., market conduct exams, subpoenas, TEFRA documentation).
Skilled in maintaining and updating SOPs and compliance documentation.
Audit & Examination Support
Proficient in supporting internal and external audits, including Early Warning Reports.
Familiarity with regulatory frameworks such as SEC, FINRA, and insurance-related standards.
Complaint & Escalation Management – Experience in tracking, documenting, and resolving customer complaints and escalations.
Licensure & Regulatory Adherence – Understanding of licensure requirements (e.g., FINRA Series 6) and ability to maintain compliance.
Governance Participation – Ability to contribute to policy development and participate in governance meetings.