Outside Activities and Consulting Consultant

About the position An integral consulting partner between the Home Office, our Field Supervision teams and Financial Representatives. Working directly with Sr. Leaders around the organization, including but not limited to Distribution Performance, Practice Management, Marketing and Law as well as Field Leadership and Financial Representatives; review and assess Outside Business Activities and Passive Investments disclosures as required by Enterprise policy and regulatory requirements, as well as consult to internal requests and projects as subject matter expert. High degrees of direct consulting, technical expertise and working with ambiguity are required for this position. Primary Duties and Responsibilities Principal review, assessment and approval or rejection of applicable Outside Business Activities and Passive Investments in accordance with Enterprise policies and within our service level agreements. Partner with home office stakeholders on new initiatives or requests to identify regulatory and Enterprise risks. Complete risk assessment and provide options for stakeholders to address their request. Build rapport with field leadership and supervision teams, as well as internal business partners and maintain good relationships. Assist other Enterprise Compliance partners in addressing OBA, Passive Investment and other regulatory assessments as required. Ability to work in a dynamic environment, provide consistent messaging and deliver difficult messages is required. Ability to work with Market Conduct and partners in Law Department to respond to regulatory inquiries and other legal matters. Ability to work with Field Leadership and Distribution Performance leadership relating to complex, higher risk requests and assist in difficult messaging or recommendations. Work closely with Oversight and Engagement division within Enterprise Compliance to ensure awareness and alignment on risk factors and local decision making. Train new Field Supervisors/Leadership and Field Engagement team members on Outside Business Activities, Passive Investment and similar regulatory obligations. Serve as subject matter expert for the Outside Business Activity Portal, communicating updates with field and home office users when necessary, and partnering with the technology and engineering teams on prioritization, planning, and implementation of required fixes and enhancements.

Responsibilities

• Principal review, assessment and approval or rejection of applicable Outside Business Activities and Passive Investments in accordance with Enterprise policies and within our service level agreements.
• Partner with home office stakeholders on new initiatives or requests to identify regulatory and Enterprise risks.
• Complete risk assessment and provide options for stakeholders to address their request.
• Build rapport with field leadership and supervision teams, as well as internal business partners and maintain good relationships.
• Assist other Enterprise Compliance partners in addressing OBA, Passive Investment and other regulatory assessments as required.
• Ability to work in a dynamic environment, provide consistent messaging and deliver difficult messages is required.
• Ability to work with Market Conduct and partners in Law Department to respond to regulatory inquiries and other legal matters.
• Ability to work with Field Leadership and Distribution Performance leadership relating to complex, higher risk requests and assist in difficult messaging or recommendations.
• Work closely with Oversight and Engagement division within Enterprise Compliance to ensure awareness and alignment on risk factors and local decision making.
• Train new Field Supervisors/Leadership and Field Engagement team members on Outside Business Activities, Passive Investment and similar regulatory obligations.
• Serve as subject matter expert for the Outside Business Activity Portal, communicating updates with field and home office users when necessary, and partnering with the technology and engineering teams on prioritization, planning, and implementation of required fixes and enhancements.

Requirements

• Bachelor's Degree Preferred or equivalent combination of education and experience preferred.
• FINRA Series 7 and 24 required.
• Minimum of 6 year of relevant experience.
• Good verbal and written communication skills are required.
• Working knowledge of Microsoft Office, and ability to learn and use other technology such as the Outside Business Activity Portal, WebCRD, and other technology with a high degree of accuracy.
• Ability to prioritize workload and seek support when appropriate, as well as work within a larger team.
• Sound decision-making skills; ability to use a mixture of analysis, wisdom, experience and judgment to arrive at a conclusion or recommendation.
• Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills.
• Proven success in establishing effective team relationships.
• Ability to identify and solve complex, operational and organizational problems leveraging the appropriate resources within or outside the division
• Ability to communicate complex ideas, anticipate potential objections and persuade others, often at senior levels, to adopt a different point of view

Nice-to-haves

• Experience in insurance, investment, or financial services industry preferred.
• Project management experience is preferred.

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