Ethics & Compliance Business Unit Specialist supports and coordinates the activities of the organization's global ethics and compliance function. Assists with the delivery and maintenance of programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organization. Being an Ethics & Compliance Business Unit Specialist prepares materials that communicate the organization's ethical standards, policies, and regulations. Supports or delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Additionally, Ethics & Compliance Business Unit Specialist generates reports of compliance monitoring statistics, investigations, outcomes, and remediations of any non-compliant actions. May administer reporting systems or helplines for employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. May require a bachelor's degree or equivalent. Typically reports to a manager or head of a unit/department. The Ethics & Compliance Business Unit Specialist occasionally directed in several aspects of the work. Gaining exposure to some of the complex tasks within the job function. To be an Ethics & Compliance Business Unit Specialist typically requires 2-4 years of related experience. (Copyright 2024 Salary.com)
General Description: The Broker Dealer Compliance Specialist is responsible for gathering, organizing, analyzing, and distributing materials used by Compliance Department and line management in the execution of their duties designed to maintain the firm's compliance with federal, SRO, and state securities regulation. The position will work with compliance/operational processing and back-office systems designed to retain required records specific to the B/D and investment advisory businesses, including New Accounts, Commissions, Licensing, FINRA Registration and Brokerage Services. The Compliance Specialist position is critical to the effectiveness of the Compliance Department.
Responsibilities:
Knowledge, Skills and Abilities:
USI is committed to providing a full-suite of competitive benefits for our growing population and its diverse needs. We offer a wide range of health, welfare and financial benefits including medical, wellness, dental and vision, 401(k), flexible spending and health savings accounts, short and long-term disability, life insurance and other unique employer-sponsored and voluntary programs. USI also offers a generous paid time off policy, paid family leave benefit as well as paid holiday time .
Job Type: Full-time
Pay: $44,000.00 - $45,000.00 per year
Benefits:
Schedule:
Supplemental pay types:
Work Location: Hybrid remote in Glastonbury, CT 06033
Clear All
0 Ethics & Compliance Business Unit Specialist jobs found in Hartford, CT area