Compliance Specialist

Location: Richmond, Virginia
Date Posted: 03-20-2018
Position Title: Compliance Specialist
Location: Richmond, VA
Position Status: Direct Hire 

Position Description:
Our client is looking for a Compliance Specialist for a position located in Richmond, VA. This company is a middle market investment bank with a proven track record of sell-side M&A excellence spanning over 25 years. The firm is focused exclusively on the middle market, providing sell-side and acquisition advisory, restructuring advisory, board advisory, private placements, and capital markets advisory services to leading private equity groups, as well as many Fortune 500 and privately held companies.

Role & Responsibilities:
  • Analyze regulatory requests and help produce reports for various corporate/regulatory entity inquiries
  • Maintain Written Supervisory Procedures (WSPs)
  • Monitor and test the compliance with its WSPs
  • Provide accurate compliance assistance and advisory to firm personnel
  • Respond to, and address inquiries from, various units to assure compliance with applicable laws, regulations and firm policy and procedures
  • Research and summarize new regulations
  • Assist in performing broker-dealer compliance activities as outlined in the firm’s compliance program
  • Act as the central touchpoint for compliance inquiries and provide guidance to other departments
Job Requirements:
  • Bachelor’s degree or equivalent experience.
  • At least three years relevant experience in compliance
  • Demonstrated experience delivering excellent problem resolution, organizational and follow-up
  • Ability to obtain Series 79 licenses within the first six months of employment
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