Senior Compliance Specialist

Location Note :

• This a hybrid role for our Wakefield, MA office.

The Purpose of Your Role :

The Senior Compliance Specialist should be able to positively collaborate and build trust with internal stakeholders at various levels across the organization.  They need to be organized, have the ability to critically think, and demonstrate a high attention to detail.   The Senior Compliance Specialist  will assist the Chief Compliance Officer in document management, compliance testing, internal controls, and risk management for the firm and its clients.  What you'll bring to Sentinel :

Knowledge of, and ability to interpret and apply, insurance, broker / dealer and investment adviser regulatory requirements Possess a high level of professionalism, confidentiality, discretion and judgment Demonstrated solutions-oriented decision-making abilities, and successful experience applying reasonable judgement Conduct research on legal, regulatory and compliance issues as needed Providing meaningful recommendations on known gaps in compliance, with the aim of undertaking corrective actions with owners Reviewing compliance policies, procedures and related documentation as required.

Assist with special project work and various legal & compliance initiatives What you’ll be responsible for :

A bout you :

What you need to have :

Series 24 required plus 7, 65 licenses preferred What you’ll be part of :

So even if you don’t meet every single requirement, please consider applying if you like what you see.

Some of our Benefits :

With a 9-year average associate tenure among our 265 professionals, our team’s commitment to excellent service has positioned Sentinel as the only provider who makes benefits EASY :