Apply on Employer Site

Jackson · 1 day ago

Manager, Compliance, Suitability

Lansing, MI

Full-time

Onsite

Senior Level

5+ years exp

Jackson is a company focused on compliance and regulatory standards in the financial services industry. The Manager, Compliance, Suitability is responsible for overseeing the compliance program related to suitability and best interest policies, managing a team, and ensuring adherence to regulatory requirements.

Financial Services

Responsibilities

Manages a team of Compliance associates; responsible for performance management and development of direct reports

Oversees suitability and best interest reviews completed by Compliance Analysts and/or Consultants to ensure compliance with relevant financial industry regulations

Oversees surveillance-related monitoring to ensure financial professional and firm compliance with suitability and best interest standards

Communicates review outcomes with firms and financial professionals

Escalates instances of non-compliance

Monitors the effectiveness of the suitability program, including the development of and dissemination of reports demonstrating the program’s effectiveness

Responds to questions from various internal stakeholders and provides guidance

Responds to inquiries from internal or external stakeholders about regulatory requirements

Remains current on relevant suitability and best interest regulatory matters

Directs one or more processes and manages cross-functional projects/initiatives (i.e. Compliance Plan activities); identifies relevant connections and areas of opportunity within the broader compliance function and designs solutions

Demonstrates superior characteristics in terms of quality work product, dependability, attitude, and overall willingness to contribute to team goals

Acts as a Subject Matter Expert and may train other associates

Attends stakeholder meetings and other regular touchpoints with Jackson departments as a representative of Compliance; may act as decision-maker for delegated areas

Supports management in the implementation of the Compliance Program; independently recommends and implements continuous improvement of the suitability and best interest program in response to industry and regulatory developments

Participates in regular meetings with the Compliance management team

Assists with reporting, as required, to department and senior management and board/committees

Manages technological improvements and upskilling within team

Attends industry meetings and assists with implementing industry’s best practices

Presents on compliance topics and/or provides training to internal stakeholders

Performs other duties and/or projects as assigned

Qualification

Compliance managementRegulatory knowledgeFinancial services experienceProject managementSecurities Industry EssentialsFINRA Series 6FINRA Series 24Team leadershipCommunication skillsProblem-solvingAdaptabilityConflict managementConfidentiality

Required

Bachelor's Degree required

5+ years of relevant professional experience (insurance, financial services, compliance, legal, etc.) required

Prior management experience required

Securities Industry Essentials (SIE) required

FINRA Series 6 or 7 required

FINRA Series 24 or 26 required. If required registration is not held by the applicant, the individual will have 90 days to obtain the required registration but will be limited in job function until complete registration is obtained