Senior Compliance and Risk Specialist

## What you’ll do day-to-day:
Conduct onboarding due diligence reviews of prospective RIA firms and existing firms on an ongoing basis
Principal Review (approve) communications with the public ("CwP") materials to ensure it meets regulatory and internal standardsReview flagged email communications
Experience with RIA compliance procedures and documentation
Assist with annual Written Supervisory Procedures (WSP) testing
Support AML processes including Customer Identification Program (CIP), Know Your Customer (KYC), and money movement monitoring
Perform additional duties as requested by the CCO
Knowledge of FINRA, SEC, and AML regulationsPartner closely with various business units within TradePMR and Robinhood
Review, analyze, and advise stakeholders on the adherence of compliance and internal guidelines
Develop and implement process improvements to increase quality and scalability
Establish program efficiencies and enhance processes within the team
Build strong relationships and align compliance strategy among different stakeholders
Guide internal customers on compliance for projects and deliverables

## About you:Bachelor’s DegreeFINRA Series 7 and 24.5+ years working in compliance or a relevant functionAbility to effectively manage multiple priorities and adapt to a changing environmentGood written and verbal communication, strategic, negotiation skills and strong attention to detailGeneral financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication
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