Compliance Specialist in Cleveland, OH at CBIZ

Date Posted: 7/6/2018

Job Snapshot

Job Description

With over 100 offices and nearly 5,000 associates in major metropolitan areas and suburban cities throughout the U.S. CBIZ (NYSE: CBZ) delivers top-level financial and employee business services to organizations of all sizes, as well as individual clients, by providing national-caliber expertise combined with highly personalized service delivered at the local level. CBIZ has been honored to be recognized as one of the Best & Brightest Companies to Work for in the Nation for 2016. The Best and Brightest Companies to Work For® competition identifies and honors organizations that display a commitment to excellence in their human resource practices and employee enrichment based on categories such as communication, work-life balance, employee education, diversity, recognition, retention and more.

The Compliance Specialist will provide strategic advice to CBIZ Financial Solutions, Inc. (CBIZ FS) and CBIZ Investment Advisory Services, LLC (CBIZ IAS), including the development and monitoring of the companies’ Compliance Programs ensuring that all activities meet the requirements of state and federal legal and regulatory agencies.  Also act as a liaison with external compliance consultants and regulatory agencies on compliance-related issues.      

Essential Functions & Primary Duties:

  • Work with external compliance consultants to develop, maintain, and update compliance policies and procedures for the general operation of the Broker Dealer and Registered Investment Adviser Compliance Programs and related activities to prevent illegal, unethical, or improper conduct. 
  • Conduct day-to-day activities in support of the Compliance Programs.
  • Assist with the maintenance of an effective compliance communication and training program for the organization, including promoting heightened awareness of standards of conduct and understanding of new and existing compliance issues and implementing related policies and procedures.
  • Receive reports and feedback from external compliance consultants regarding the performance of the Compliance Programs and related activities and implement appropriate action to improve the effectiveness of the Compliance Programs.
  • Collaborate with CBIZ operating units to direct compliance issues to appropriate existing channels for investigation and resolution. Consult with CBIZ FS and CBIZ IAS CCO and Corporate Counsel as needed to resolve compliance issues.
  • Coordinate regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies.  Coordinate with CBIZ FS and CBIZ IAS CCO and Corporate Counsel and external compliance consultants as necessary.
  • Respond to alleged violations of rules, regulations, policies, procedures, and standards of conduct by working with external compliance consultants and CBIZ FS and CBIZ IAS CCO and Corporate Counsel to evaluate and/or recommend the initiation of investigative procedures. 
  • Coordinate with external compliance consultants to ensure an independent review that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
  • Perform compliance projects as assigned.
  • Adhere to ethics and employee code of conduct policies.
  • Monitor activities for evidence of fraud.
  • Travel to various branch locations as necessary. 
  • Perform other duties as assigned. 

Minimum Qualifications:

  • Bachelor’s Degree
  • Three to five years of job-related prior experience
  • Highly organized with strong analytical skills 
  • Possess problem-solving ability through detailed analysis of various rules and regulations.  
  • Exhibit leadership capabilities and the ability to listen and communicate effectively  
  • Able to work and develop a team environment
  • Possess an ownership mentality balanced with large company focus and common culture
  • Demonstrate initiative, imagination, resourcefulness, creativity, and independent thinking
  • Strict adherence to professional ethics
  • Computer proficiency and the ability to learn and retain knowledge of the company’s computer systems   
  • Have strong written and verbal communication skills, strong presentation skills, the ability to manage time effectively, and the ability to multi-task 
  • Conservative, compliance orientation
  • Broker-dealer and registered investment advisory compliance background, knowledge of ERISA preferred


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CBIZ is an equal opportunity employer and reviews applications for employment without regard to the applicant's race, color, religion, national origin, ancestry, age, gender, marital status, military status, veteran status, sexual orientation, disability, or medical condition or any other reason prohibited by law. If you would like more information about your EEO rights as an applicant under the law, please visit these following pages EEO is the Law and EEO is the Law Supplement.



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