finra policy and procedure writer.

• charlotte , north carolina

• posted april 17, 2024

job details

summary

• $52 - $59 per hour

• temporary

• bachelor degree

• category business and financial operations occupations

• referenceAB_4516654

job details

Randstad Strategic Accounts is looking for a business professional with a knowledge and proficiency working in the banking industry. We have a role that we are looking to fill for a contract position with a top tier bank in the financial industry. If you are interested in becoming part of a team where you can contribute to drive both personal and organizational goals, this may be the right fit for you! For further information on the role, and job responsibilities, please read and below!

salary: $52 - $59 per hour

shift: First

work hours: 8 AM - 5 PM

education: Bachelors

Responsibilities

We are looking for someone that will write these FINRA policies/procedures, and after they have been written, they will publish them in an internal system. Afterwards, they will act in a role where they will oversee and advise the Supervisory Principals on the policies and procedures that they are required to follow per FINRA requirements when managing the team.

• Write, review, and publish Markets Division documentation, primarily focused on, but not limited to, supervisory procedures and procedures are required by FINRA guidelines

• Ensure timely completion, quality, and compliance of these policies and procedures

• These policies and procedures that are being written are focused on FINRA regulations that require the Supervisory Principles to manage their team of Desk Traders as specific way. They are putting these policies and procedures in places to ensure that these process and leadership requirements are followed correctly.

• Identify opportunities for process improvement and risk control development and adhere to all policy and regulatory requirements

• Complete all required assessments, exercises, training, and affirmations in accordance with Bank Policies and Audit requirements, including Business Continuity Planning

Skills

• FINRA Regulations

• Policy/Procedure Writing

• Investment Banking Compliance

Qualifications

• Years of experience: 5 years

• Experience level: Experienced

Randstad is a world leader in matching great people with great companies. Our experienced agents will listen carefully to your employment needs and then work diligently to match your skills and qualifications to the right job and company. Whether you're looking for temporary, temporary-to-permanent or permanent opportunities, no one works harder for you than Randstad.

Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

At Randstad, we welcome people of all abilities and want to ensure that our hiring and interview process meets the needs of all applicants. If you require a reasonable accommodation to make your application or interview experience a great one, please contact HRsupport@randstadusa.com.

Pay offered to a successful candidate will be based on several factors including the candidate's education, work experience, work location, specific job duties, certifications, etc. In addition, Randstad offers a comprehensive benefits package, including health, an incentive and recognition program, and 401K contribution (all benefits are based on eligibility).

Applications accepted on ongoing basis until filled.

get in touch

we are here to help you with your questions.

BS

benjamin sampson

• ben.sampson@randstadusa.com