What are the responsibilities and job description for the Compliance Specialist position at KORE1?
Key Responsibilities
- Develop and implement a comprehensive broker-dealer compliance program, collaborating with the global Compliance Department to ensure consistency and drive enhancements.
- Design and implement compliance vendor technology workflows to meet pre-approval requirements, ensuring regulatory alignment and operational efficiency.
- Manage project timelines, resources, and stakeholder communications to deliver compliance initiatives and technology solutions successfully.
- Conduct surveillance and testing of the firm's compliance policies and procedures.
- Collaborate with Client Facing, Sales, Legal, Administrative Services, and other departments to identify and enhance compliance processes and controls.
- Take initiative in learning and applying new skillsets proactively.
- Respond promptly to business and regulatory changes.
- Demonstrate strong integrity, upholding expressed values and ethical principles of the company.
Position Requirements
- Possess excellent problem-solving skills.
- Experience in using and implementing technology solutions, preferably focusing on compliance vendor systems.
- Exceptional communication and presentation skills to articulate clear ideas/strategies both verbally and in writing.
- Be an intelligent, critical thinker, and quick learner who can assess situations and generate new insights and usable ideas.
- Balance regulatory and policy standards with a business perspective.
- Show a high level of motivation as a self-starter, willing to take on challenges and drive change.
- Demonstrate exceptional organizational skills, prioritizing tasks effectively and meeting strict deadlines.
- Be highly flexible and multi-task oriented, capable of adapting to changing business demands.
- Be a consensus builder and team player, working well within a matrixed organization.
- Demonstrate self-awareness, cultural skills, and sensitivities to work effectively in a global organization.
- Have a working knowledge of MS Office Suite, including Word and Excel, with a desire to learn and master new software solutions.
Role Requirements
- Maintain at least 2 years of regulatory compliance experience or related experience with a large and diverse investment management firm serving in a compliance function.
- An undergraduate degree is required.
- General knowledge of regulatory requirements applicable to US investment managers and broker-dealers, including the Investment Advisers Act and FINRA Rules.
- Background in fixed income, alternatives, derivatives, commodities, and equity strategies offered in various investment products is beneficial.
