What are the responsibilities and job description for the Compliance Consultant 4649 position at Tier4 Group?
Compliance Consultant
12 month contract
Hybrid, 3 days a week onsite in Springfield, MA
You will be leading a consolidation effort across multiple compliance manuals and resources into a unified Compliance and Supervision Manual. This effort involves merging content, streamlining formatting, and eliminating procedural redundancies to enhance clarity and usability for end users.
You can expect to assist the Compliance Education, Policy, and Agency Relations team in executing key components of the project. This includes policy consolidation, content refinement, governance development, regulatory alignment, and gap analysis.
Minimum Qualifications:
- Policy Consolidation: Review and identify policy content from various guides and resources, ensuring consistency and eliminating duplication.
- Gap Identification: Analyze existing guides and resources to identify missing or conflicting policy elements.
- Strong Writing and Editing Skills: Compose content that prioritizes clarity, conciseness, and accessibility, adhering to the established formatting guidelines of the manual.
- Financial Services or Regulatory Experience: Experience in regulatory or financial services environments is considered relevant. FINRA license or willingness to be fingerprinted is required.
Nice to Haves
- Governance Process Development: Familiarity with governance frameworks and documentation standards to help define and document governance workflows for policy updates and manual maintenance.
- Regulatory Rule Identification: Research and identify applicable regulatory rules and policies to ensure the manual reflects current compliance standards and obligations.
