Financial Services Governance / Regulatory Compliance Consultant MM36459906

Financial Services Governance / Regulatory Compliance Consultant

Project Overview : The One Manual initiative aims to consolidate 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.

Role Summary : The contingent worker will assist the Compliance Education, Policy, and Agency Relations team in executing key components of the One Manual project. This includes policy consolidation, content refinement, governance development, regulatory alignment, and gap analysis.

Seeking a candidate with one of the following : Governance Process Development or Regulatory Rule Identification

Governance Process Development

Familiarity with governance frameworks and documentation standards to help define and document governance workflows for policy updates and manual maintenance.

OR

Regulatory Rule Identification

Research and identify applicable regulatory rules and policies to ensure the manual reflects current compliance standards and obligations.

Minimum Qualifications :

Policy Consolidation

Review and identify policy content from various guides and resources, ensuring consistency and eliminating duplication.

• Analyze existing guides and resources to identify missing or conflicting policy elements.

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.

Seniority level : Associate

Employment type : Contract

Job function : Consulting

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