Doherty Staffing Solutions

Compliance Assistant

7 days left

Location
Minneapolis, Minnesota
Salary
Depending on Qualifications
Posted
Nov 15, 2017
Closes
Nov 26, 2017
Ref
153763
Job Type
Employee
Employment Status
Full Time

Compliance Specialist

Doherty Top Talent is seeking a Compliance Specialist to join an internationally known insurance organization located in Golden Valley, MN. This is a temporary opportunity with regular business hours, paying up to $22/hour based on experience. This role ensures compliance with regulatory and legal requirements and related company policies for areas assigned. This role will assist with the oversight and supervision of the firm's broker-dealer.

Compliance Specialist Responsibilities

· Researches and resolves compliance issues and recommends changes that ensure compliance.

· Demonstrates expertise in the assigned area and may take direction from more senior positions.

· May be tasked with special assignments/projects that are outside the scope of day-to-day responsibilities.

· Assist with the design, build and management of compliance programs within a discipline - participates on projects and applies company/industry knowledge.

· Assess compliance -related risks, create and implements controls within a discipline.

· Assist with analyzing, designing and assessing compliance-related metrics/measures within a discipline.

· Develops industry knowledge through various mediums, including periodicals and industry courses.

· Identifies, researches and resolves routine issues independently; works on complex issues under direction.

Compliance Specialist Requirements

· 4-5 years' Compliance related experience required.

· Four-year degree required: or equivalent work experience.

· FINRA registrations preferred.

· Knowledgeable in specific aspects of assigned area of compliance.

Contact

To apply for the Compliance Specialist position, please click Apply Now and complete our online application. For questions or further information about the Compliance Specialist position, please call your closest Doherty Top Talent office or email dtt_brooklyncenterclerical@doherty.jobs.

· Brooklyn Park: 952-715-5200

· Edina: 952-832-8363

· Minneapolis: 612-208-1611

· Roseville: 651-489-5000

Download our mobile app for iOS & Android | www.doherty.jobs/app

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