Senior Sales Practices Specialist

About The Job

The Compliance Senior Specialist role applies intermediate knowledge of regulatory requirements, internal policies, and risk management practices to independently execute compliance activities and support risk mitigation efforts. This role bridges execution and consulting responsibilities by handling more complex work, exercising judgment within defined frameworks, and partnering with stakeholders to address compliance risks. 

The role contributes to monitoring, analysis, issue resolution, and process improvement while beginning to provide guidance to business partners and less experienced team members. 

What You’ll Do:

• Independently perform compliance reviews to evaluate adherence to regulatory requirements, internal policies, and procedures 

• Document findings, observations, and risk assessments with clear, well-supported analysis 

• Support identification, tracking, and resolution of compliance issues, including coordination with business partners on remediation efforts 

• Evaluate risk severity and escalate complex, sensitive, or ambiguous issues as needed 

• Provide guidance to business partners on routine to moderately complex compliance requirements, policies, and processes 

• Respond to compliance-related questions and help interpret policy and regulatory expectations in practical terms 

• Build effective working relationships with cross-functional stakeholders to facilitate issue resolution and alignment 

• Identify opportunities to develop or improve compliance policies, procedures, processes, controls, and documentation 

• Participate in or lead components of process improvement initiatives and projects 

What You'll Bring To The Role

• Bachelor's degree in business, finance, law, risk management, or a related field preferred, or an equivalent combination of education and experience.  

• FINRA Series SIE, Series 7, and Series 24 required.  

• Minimum of 3 to 5 years of relevant experience. Experience in the financial services, Insurance, or Investment industry preferred 

• Demonstrated ability to independently manage workload and prioritize competing responsibilities 

• Strong analytical and problem-solving skills with the ability to assess risk and apply sound judgment 

• Effective communication skills, with the ability to clearly translate compliance requirements into practical guidance 

• Knowledge of insurance and investment products and operations.  

• Ability to solve complex problems; take a new perspective on an existing solution; exercise judgement based on the analysis of multiple sources of information.  

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