Experience Inc. Jobs

Description

Responsibilities:

• Program Leadership: Oversee operations and compliance programs, representing the company to regulators, auditors, and all key stakeholders.

• Compliance Management: Serve as the primary contact for all compliance and legal matters, ensuring regulatory standing, expanding the compliance program, conducting mock audits, and supporting platform growth.

• Regulatory Compliance: Handle all regulatory filings, license registrations, and compliance requirements, ensuring the business remains fully compliant.

• Risk Management: Lead risk management efforts, crafting and implementing compliance solutions tailored to the business's needs.

• External Relationships: Manage relationships with outside counsel and third-party consultants, guiding the team on legal decisions, agreements, and policy updates.

• Operational Controls: Collaborate with operations and advisory teams to establish, measure, and enforce control points within processes and procedures.

  Requirements

• 7-10 years in Compliance and Risk within investment advisers, broker-dealers, or wealth management

• Highly organized with strong attention to detail

• Skilled in operations, strategy, and compliance, focusing on business controls

• Proactive, with a strong sense of ownership

• Excellent at simplifying complex regulations for clear communication

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

Robert Half will consider qualified applicants with criminal histories in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

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