Enterprise Compliance Differentiated Solutions Consultant

About the Job:

The Enterprise Compliance Differentiated Solutions Consultant is an individual contributor role responsible for supporting compliance strategies and practical business solutions for complex field practices. This role partners across Enterprise Compliance, supervision, and field stakeholders to analyze issues, support solution development, and promote consistent execution. The position contributes to effective collaboration through issue resolution support, information sharing, and participation in strategic compliance initiatives.

What You'll Do:

• Provide consultation and support on complex compliance and supervision topics, including researching issues, coordinating questions, and supporting timely resolution.
• Gather, organize, and communicate information needed to support a consistent cross-network office experience, including workflow improvements related to cross-territory challenges.
• Support the development and continuous improvement of compliance approaches by contributing insights related to business strategy, team dynamics, client focus, and operational effectiveness.
• Facilitate communication across compliance teams, business partners, and field stakeholders to support alignment on compliance priorities and risk considerations.
• Support the design and delivery of targeted training and guidance in response to data trends, industry changes, and evolving risks.
• Support core compliance initiatives, including annual training and attestation monitoring, contracting workflow processes, staff compensation processes, and transaction reviews.
• Contribute to process, policy, and operational improvements through close partnership with field and business stakeholders.

What You'll Bring to the Role:

• 3+ years of experience in financial services compliance, supervision, risk management, or a related field.
• Working knowledge of compliance regulations, supervision practices, and risk management processes.
• Understanding field structure, business operations, and stakeholder roles.
• Strong analytical and problem-solving skills, with the ability to identify practical solutions to complex issues.
• Strong written and verbal communication skills and the ability to build effective working relationships across functions.
• Ability to support compliance initiatives aligned with broader business objectives.
• Experience supporting training, guidance, or process documentation preferred.
• Ability to manage multiple priorities and work effectively in a fast-paced, collaborative environment.
• FINRA Series 7 and Series 24 are required.
• This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - FINRA

Geographic Specific Pay Structure:

Structure 110:

Structure 115:

We believe in fairness and transparency. It’s why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you’re living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.

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