Join Mohr Talent as a Senior Regulatory Compliance Specialist and be a key player in navigating regulatory inquiries and ensuring compliance within the financial advisory sector. Leverage your expertise in a collaborative environment where your contributions will have a meaningful impact.
Key Responsibilities
Manage regulatory responses, examinations, and inquiries from FINRA, SEC, and State regulators
Compose and validate formal responses ensuring accuracy and regulatory consistency
Lead tracking and coordination of deadlines and deliverables during audits or investigations
Support internal investigations and customer complaint reviews
Conduct quality control reviews to identify gaps or risks in responses
Assist in tracking and resolution of regulatory findings
Required Qualifications
5+ years of regulatory compliance experience within RIA firm or similar
Series 7
Series 24
Series 63 (or 66)
Preferred Qualifications
Direct experience with regulatory exams, internal audits, branch exams, or investigations
Strong familiarity with Lexis Nexis, RegEd, Smarsh, and NFS (Streetscape)