Compliance Specialist

Compliance Specialist

Federated Hermes Career Opportunity #9322

Federated Hermes, Inc., a global leader in active, responsible investing, is seeking a Compliance Specialist to join our Compliance department based at our Pittsburgh, Pennsylvania headquarters.

What You’ll Do

As a Compliance Specialist you will be responsible for managing the processes regarding registration and continuing education requirements for designated Federated Hermes personal. You will also be responsible for coordinating with supervisors and other business units to prepare updated annual filings with national and state securities regulators.

• Coordinate with Supervisor and/or other Federated business units to prepare updated and annual filings with national and state securities regulators as required for the various Federated registered entities.
• Manage the processes regarding registrations and continuing education requirements for designated Federated Hermes personnel, which includes filings, pre-hire checks, ordering study materials and scheduling testing.
• Assist the group Supervisor in the administration and subsequent reporting of the Annual Certification process company wide.
• Manage deposit transactions into the FINRA CRD account for the Federated Broker-Dealer(s) and Investment Advisers as well as processing payments to 3rd parties.
• Assist with the review, creation and filing of annual or interim amendments to various compliance forms for appropriate personnel.
• Assist in the creation, review and update of applicable group procedures and job aids.
• Review and approve business cards.
• Perform research as directed into new or amended regulations that are pertinent to assigned duties.
• Other duties as assigned, including assisting with physical filings of records under company policy.

The position requires an employee to gain an in-depth knowledge of the Federated Hermes’ onboarding practices as well maintenance of FINRA and SEC registrations for both firms and individuals.

The Expertise We are Looking For

• High School Diploma or equivalent required; Associate or Bachelor’s Degree in Business or Paralegal certification preferred, OR in lieu of a degree, a comparable combination of education, job specific certification(s), and professional and/or military experience may be considered.
• 2 years professional business experience including working with technical and confidential information required; 2 years financial services experience with an understanding of different investment types and/or in a regulatory environment preferred
• Excellent skills in MS Office including Excel required; Experience with industry websites such as SEC and FINRA preferred

Our Investment in You

We believe our employees are our most important asset! Therefore, we offer benefits programs designed to help you and your family thrive, training programs to advance your professional development and opportunities for you to give back to the community. Our offerings include:

• A competitive total compensation package, including bonus programs designed to recognize and incentivize our employees to do their best every day.
• Time off programs including paid vacation, parental leave and a volunteer day to help you stay healthy and connected to the things that are important.
• Opportunities to expand your professional network within the firm and the community through participation in programs such as the Women in Investing Employee Resource Business Group and the University Ambassador Program.

About Federated Hermes

At Federated Hermes, our goals are to help individuals invest and retire better, to help our clients achieve better risk-adjusted returns, and to contribute to the positive outcomes in the wider world.  We pledge to always put our clients first and to act responsibly and transparently.  Our commitment to active, responsible investment has enabled us to become a leading investment manager with $800.5B in assets under management, serving investors around the world.

We provide career opportunities that enable our employees to grow and meet their career aspirations while balancing the needs of their personal lives. We offer a collaborative environment that promotes doing things the right way and always with integrity, sharing ideas to drive positive change, and following through on our commitments.  We promote teamwork and foster a diverse, inclusive and respectful workplace where unique perspectives, ideas and experiences are recognized and appreciated for the contributions they bring. Federated Hermes is committed to providing equal employment opportunities to qualified individuals without regard to the following criteria: race (including physical characteristics  such as  hairstyles), color, national origin, religion, sex (including pregnancy), sexual orientation, gender identity or expression, mental or physical disability, age, familial or marital status, ancestry, military status, veteran status or genetic information as well as any other prohibited criteria under any applicable local, state or federal law applicable to Federated Hermes.

For additional information

For additional information, please visit FederatedHermes.com

Federated Hermes, Inc. offers a competitive salary and benefits package along with a professional environment.

Only those candidates in whom we have an interest will be contacted.

We are interested in qualified candidates who are eligible to work in the United States. However, we are not able to sponsor visas.

EOE – Including Disability / Vets

Federated Hermes is committed to providing equal employment opportunities in all aspects of employment to qualified individuals without regard to the following criteria: race, color, national origin, religion, sex, pregnancy, sexual orientation, gender identity or expression, mental or physical disability, age, familial or marital status, ancestry, military status, veteran status or genetic information as well as any other prohibited criteria under any local, state or federal law applicable to Federated Hermes. As part of the firm’s equal employment opportunity statement, Federated Hermes will also take affirmative action to ensure that minorities, females, veterans, and qualified people with disabilities are considered for employment and promotional opportunities.