Compliance Consultant - job 1 of 2

Job Summary

A company is looking for a Compliance Consultant to oversee compliance functions related to complaints and market conduct.

Key Responsibilities

• Serve as the compliance liaison to the Operations Complaint department and manage the complaint oversight function
• Utilize data analysis tools to track complaint trends and ensure compliance with regulatory requirements
• Complete compliance monitorings and manage technically complex compliance projects with minimal supervision

Required Qualifications

• High school diploma required; college degree or equivalent experience preferred
• 8+ years of relevant compliance and/or industry experience, including 3 years managing a compliance function
• Experience with regulatory compliance, complaints management, and quality assurance required
• Proven ability to work cross-functionally and manage compliance monitorings independently
• Skilled in mentoring junior team members and fostering a culture of compliance awareness