Compliance Specialist

Job Description



Essential Functions And Primary Duties

Regulatory Compliance (Broker-Dealer & RIA)

• Support the development, implementation, and ongoing maintenance of compliance programs in accordance with SEC, FINRA, and applicable state regulations.
• Conduct ongoing monitoring, reviews, and testing of business activities to identify potential compliance risks and issues.
• Assist the Compliance and Operations teams with the preparation, review, and timely filing of regulatory reports and disclosures, including Form ADV, Form CRS, FINRA filings, and state regulatory submissions.
• Support regulatory examinations, audits, and inquiries by preparing documentation, responding to requests, and coordinating with internal compliance stakeholders.
• Review marketing, advertising, and client communications for regulatory compliance, and support RIA leadership with go-to-market initiatives.
  
  

Corporate Compliance

• Support compliance with corporate policies and programs, including but not limited to insider trading, RFPs, business continuity planning (BCP), records retention, and anti-bribery and anti-corruption requirements.
• Assist in the administration, monitoring, and ongoing effectiveness of corporate compliance policies and programs across business units.
• Support codes of ethics, conflicts of interest processes, investigations, and whistleblower programs.
• Participate in enterprise risk management (ERM) and compliance risk assessments.
• Assist in maintaining, testing, and documenting internal controls related to compliance and corporate governance.
• Support Board of Directors and committee reporting, including preparation of compliance summaries, metrics, and materials.
• Assist with policy governance, including drafting, reviewing, updating, and distributing corporate compliance policies and procedures.
  
  

Skills & Continuous Improvement

• Demonstrated strategic problem-solving skills, including the design, implementation, and execution of compliance solutions in complex regulatory and corporate environments.
• Experience supporting the development, implementation, and oversight of compliance automation, ensuring alignment with legal, regulatory, and industry best practices.
• Provide governance and oversight of automated compliance tools and processes.
• Support training, monitoring, and ongoing effectiveness testing of compliance programs.
• Proactively enhance compliance processes and support the continuous evolution of compliance programs through automation, data analytics, and best-practice improvements.
• Collaborate effectively with internal stakeholders, including Legal, Finance, Risk, Operations, Technology, Internal Audit, and Business Unit leaders, to integrate compliance into daily business operations.
• Assist in delivering clear, well-documented, and actionable compliance reporting to senior management and the Board of Directors.
• Identify potential system, process, and internal control gaps, and support remediation efforts.
• Have sound ethics and understanding of necessary discretion
  
  

Preferred Qualifications

• 4 years of experience in compliance, risk, or operational functions.
• Experience working with SEC and FINRA-regulated entities.
• Relevant compliance licenses or professional designations.
• Excellent research, writing, analytical, and organizational skills.
• Strong ethical judgment and a high level of professionalism.
• Ability to manage competing deadlines, including regulatory and business-driven timelines.
• Familiarity with the Investment Advisers Act of 1940 and Broker-Dealer regulations and practices.
• Possession of, or willingness to obtain, required FINRA Series licenses.
• Experience supporting audits or regulatory examinations.
  
  

Minimum Qualifications

• High school diploma or GED required; Bachelor's degree preferred
• Approved paralegal certification
• 2 years of increasingly complex work in a legal environment
• Knowledge of fundamental legal principles and methods relevant to general corporate law
• Knowledge of legal publications and ability to remain current in profession
• Excellent research skills to include Internet research
• Organizational and cataloging skills
• Demonstrated ability to communicate verbally and in writing throughout all levels of the organization, both internally and externally
• Possess problem-solving ability through detailed analysis of various rules, regulations, laws etc.
• Proficient use of applicable technology
  
  

About Us

CBIZ Inc. is a leading professional services advisor to middle market businesses and organizations nationwide. With unmatched industry knowledge and expertise in accounting, tax, advisory, benefits, insurance, and technology, CBIZ delivers forward-thinking insights and actionable solutions to help clients anticipate what's next and discover new ways to accelerate growth. CBIZ has more than 10,000 team members across more than 160 locations in 22 major markets coast to coast.

CBIZ strives to be our team members' employer of choice by creating an environment where team members are appreciated, recognized for their contributions, and provided with opportunities to grow, both personally and professionally, throughout their careers.

Together, CBIZ and CBIZ CPAs are ranked as one of the top providers of accounting services in the United States. CBIZ CPAs is an independent CPA firm that provides audit, review and attest services, while CBIZ provides business consulting, tax and financial services. In certain jurisdictions, CBIZ CPAs operates under its previous name, Mayer Hoffman McCann P.C.