Compliance Advisor, Branch Examinations

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🔥 6 minutes ago

🔔 Pennsylvania, Washington – Remote

🔔 Pennsylvania – Remote ☕ Washington – Remote

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

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Dayforce

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

👥 HR Tech

☁️ SaaS

🏢 Enterprise

💰 $1G Post-IPO Debt - Dayforce on 2024-03

HR Tech • SaaS • Enterprise

Dayforce is a cloud-based human capital management (HCM) platform that provides payroll, workforce management, HR, benefits, talent management, and compliance tools in a single application. It is designed for businesses and enterprise customers to streamline payroll processing, scheduling, time and attendance, and employee lifecycle management through a unified SaaS solution.

📋 Description

• Conduct announced and unannounced Annual, Semi-Annual and/or Periodic Compliance Examinations of Branch Offices and other Lincoln Investment business locations. • Evaluate adherence to FINRA, SEC, MSRB, and applicable state regulations, as well as Firm policies, procedures, and supervisory requirements, including: • Recordkeeping obligations • Sales practices and client interactions • Prepare clear and concise written Exit Interview report of the inspection identifying deficiencies and required corrective actions. • Communicate findings effectively, both verbally and in writing, and provide remediation guidance to branch personnel. • Review and assess branch’s formal written responses to Exit Interview reports to confirm adequacy of remediation and closure. • Plan and prepare for examinations, including pre-audit review, scheduling, and travel coordination in accordance with departmental budgets and Firm travel policies. • Manage multiple examinations and projects simultaneously. • Present and articulate examination findings and supporting workpapers to regulators and others, when necessary. • Stay abreast of changing regulations that impact the firm and remain current with the firm's written policies and procedures. • Support departmental and enterprise-wide compliance initiatives, including providing guidance to Designated Supervisors, Financial Professionals, branch personnel, and Home Office staff. • Assist with new branch onboarding, set-up, and training, as needed. • Provide cross-functional support to other Compliance team members, as needed

🎯 Requirements

• Strong working knowledge of FINRA, SEC, MSRB, and applicable state regulatory frameworks governing Broker-Dealers and Registered Investment Advisers. • Intermediate to advanced knowledge of securities and insurance products as well as investment advisory services. • Strong communication skills, including clear, concise written communication and professional, effective verbal presentation abilities. • Intermediate to advanced computer skills, including proficiency in Microsoft Office – Word, Excel, and Outlook as well as Adobe Acrobat and web-based applications. • 3+ years of Compliance focused auditing experience in a Broker-Dealer and/or Registered Investment Adviser environment preferred. • Experience using Quest CE, SunGard/FIS, Pershing NetX360 and other third-party vendor systems preferred. • Registered representative or branch administrative background or Broker-Dealer operations experience is helpful.

🏖️ Benefits

• Competitive compensation and benefits package. • Health insurance • Paid time off • Flexible work arrangements • Professional development opportunities