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M&T Bank · 2 days ago

Compliance Specialist

Boston, MA

Full-time

Onsite

Entry, Mid Level

$72K/yr - $120K/yr

1+ years exp

M&T Securities, Inc. is the institutional broker-dealer affiliate of M&T Bank, and they are seeking a Compliance Specialist to promote a culture of ethical conduct and compliance with securities regulations. The role involves monitoring employee communications, assisting with regulatory inquiries, and preparing training materials to support compliance obligations.

Financial Services

Responsibilities

Assist with ongoing monitoring of employee communications, personal trading, and outside activities through the firm’s surveillance platform

Assist with drafting, reviewing, and revising policies and written supervisory procedures

Assist with responses to regulatory inquiries and examinations

Assist in promptly addressing compliance questions from firm personnel

Research and interpret applicable FINRA, SEC, and other SRO rules as applicable to broker-dealer activities

Assist in review of controls in place that are designed to mitigate risks of non-compliance

Assist in the preparation of training materials to support employees in fulfilling their compliance obligations

Build and maintain positive relationships with key partners in Business, Compliance, Legal, and Risk

Escalate concerns/questions to management as appropriate

Qualification

SIESeries 7Compliance experienceAnalytical skillsJudgmentCommunication skillsOrganizational skills

Required

Bachelor's Degree

1-3 years' experience in compliance, legal, audit, risk or other relevant function

OR in lieu of degree, a minimum of 5 years of relevant work experience, such as in compliance, trading or broker-dealer operations

Strong analytical and problem-solving skills, as well as intellectual curiosity and investigative skills

Ability to build relationships and collaborate with colleagues and business partners

Strong verbal and written communication skills communications, including the ability to: Effectively and proactively communicate with persons of any professional level; and understand, explain and deliver urgent information

Outstanding organizational skills

Accountability and ownership of issues, with the ability to independently exercise sound judgment