Senior Compliance Examiner

This is a fully remote position, open to applicants in Uruguay.

📋 Description

• Oversee the planning, development, and execution of strategic initiatives within the Compliance department.

• Create and implement efficient procedures while training team members on the revised processes.

• Perform on-site and virtual audits of financial professional offices.

• Organize audit routes, coordinate visit schedules, and arrange travel logistics such as flights, hotels, and rental cars.

• Ensure compliance with internal policies, procedures, regulations, and rules.

• Relay regulatory updates to financial professionals and notify management regarding potential violations.

• Provide training and guidance on resolved audit deficiencies through effective facilitation.

• Offer Compliance support to management, company associates, and financial professionals.

• Monitor open issues and follow up to guarantee resolution.

• Communicate both pre- and post-audit findings through formal written reports.

• Conduct follow-ups to ensure concerns are addressed within designated timeframes.

• Stay informed about current compliance regulations and industry developments.

• Complete necessary continuing education for FINRA licenses.

⛳️ Requirements

• Possession of FINRA Series 7, Series 24, Series 63, and either Series 65 or Series 66 licenses.

• A minimum of four years of relevant experience, education, and/or training.

• Comprehensive knowledge of financial services compliance, regulatory frameworks, and auditing practices.

• Exceptional analytical and critical-thinking abilities.

• Strong written and verbal communication skills, demonstrating professionalism.

• Excellent organizational, planning, and time management capabilities.

• Good judgment, attention to detail, and discretion in handling sensitive or confidential information.

• Ability to work autonomously, make informed decisions, and appropriately escalate compliance issues.

• Effective collaboration, coaching, and facilitation skills.

• A mindset focused on process improvement, with the ability to develop and enforce efficient procedures.

• Willingness and flexibility to travel to financial professional offices as needed.

• A valid driver’s license.

🏝️ Benefits

• Comprehensive benefits package, including medical, vision, dental, life, and long-term disability insurance.

• Paid vacation and sick time.

• 401K retirement plan featuring a company matching program.

• Eleven paid holidays per year.

• Promotion of work/life balance.