Regulatory Compliance Expert/Counsel - Investments

Regulatory Compliance Expert/Counsel - Investments
Remote | Product and Development | Full-Time

WHO WE ARE

Ncontracts provides comprehensive vendor, compliance, risk management, and lending compliance solutions to a rapidly expanding customer base of over 4,000 financial institutions in the United States. We help financial institutions achieve their compliance and risk management goals with a powerful combination of user-friendly, cloud-based software and expert services. Our solution suite encompasses the complete lifecycle of risk, including vendor management, enterprise risk management, business continuity, compliance, audit and findings management, and cybersecurity. The company was named to the Inc. 5000 fastest-growing private companies in America for the fourth consecutive year. For more information visit www.ncontracts.com or follow the company on LinkedIn and Twitter.
 

THE ROLE

This role will be responsible for creating, updating, interpreting, and revising wealth management and investment content, such as SEC, FINRA, and other applicable federal and state content for Ncontracts’ solutions. This includes drafting regulatory analyses and providing expert insight to enhance securities, investment, trust, and general wealth management-related content.  

YOU WILL

• Create accurate investment and securities compliance content based on federal and state laws/regulations 

• Peer review work product 

• Keep up with industry best practices to enhance our content and provide thought leadership 

• Research new investment and securities compliance-related content to strengthen our investment and securities offerings  

• Be an internal product advisor and help seek industry feedback to ensure compliance content and tools are effective 
   

YOU BRING

• Highly knowledgeable investment and securities compliance and operational expertise developed at a financial institution, wealth management/investment company, or similar 

• Ability to find answers and solutions to investment compliance and business questions 

• Ability to translate and synthesize complex investment laws/regulations into clear and plain English 

• Attention to detail and accuracy 

• Ideal team player (humble, hungry, and smart) 

WE OFFER

• A fun, fast-paced work environment
• Responsible PTO Plan that meets or exceeds state and local medical and family leave laws
• 11 paid holidays
• Community and social events to keep you connected and engaged
• Mental Health Benefits
• Medical, Dental and Vision insurance
• Company-paid Group Life Insurance, Short- and Long-Term Disability
• Flexible Spending Account & Health Savings Account
• Aflac Benefits – Critical Illness, Cancer Protection, & Hospital Choice
• Pet Insurance
• 401 (k) with company match with eligibility on Day 1 of employment
• 2 Paid Volunteer Time Off Days
• And much more!
   

Compensation Information

Pursuant to state and local law disclosure requirements, the pay range for this role, with final offer amount dependent on education, skills, experience and location is $100,000 to $120,000 per year. This position may be eligible for an annual discretionary incentive award. The incentive award amount is dependent upon company performance and your personal performance and is not guaranteed.

AAP/EEO Statement

Ncontracts provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local laws.

This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training.

Other Duties

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

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