9144: Compliance Specialist

Website Federated Hermes

Federated Hermes, Inc., a leading global investment manager, is seeking a Compliance Specialist to join our Compliance Department. In this role, you will assist in the implementation and conduct independent monitoring and testing of Federated Hermes’ sales, distribution, and service activities for compliance. This role also reviews all advertising sales literature to ensure compliance with the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”).


What you can expect:

As a Compliance Specialist, you will specialize in two areas:

Sales, Distribution and Service

Assist with the review, monitoring, and tracking of compliance with distribution practices and global regulations.
Assist in ensuring compliance with various compliance programs policies and practices.
· Engage in policy maintenance to include new and existing policy reviews and procedures.

· Present findings, resolve issues, and make recommendations for changes to effect compliance.

· Conduct research in connection with federal, state and global laws and regulations.


Advertising and Sales Literature

· Assist in the monitoring and tracking of all advertising and sales literature that is submitted for review.

· Liaison with Compliance Sales Literature and Advertising Review staff to track any necessary FINRA invoices and fee verification.


What we are looking for:

Bachelor’s degree or High School diploma with equivalent comparable business experience in a financial services organization in compliance, fund accounting, legal, audit, or similar environment required.
Two years of business experience required.
Knowledge of Microsoft Office and Adobe Acrobat required.

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:

For more than 60 years, Federated Hermes (FHI) has provided world-class investment solutions to financial professionals in the United States and around the world.  Federated Hermes’ employees have defined the qualities of the company’s success over the decades: a reputation for integrity and excellence, a commitment to customers and employees and a history of longstanding client relationships.  While each market cycle brings new opportunities and challenges to the company, Federated Hermes continues to foster employee commitment to excellence in the investment management industry.

For additional information about this opportunity please visit: https://careers.federatedinvestors.com/psp/EXT/EMPLOYEE/HRMS/c/HRS_HRAM.HRS_APP_SCHJOB.GBL?Page=HRS_APP_JBPST&Action=U&FOCUS=Applicant&SiteId=11&JobOpeningId=9144&PostingSeq=1


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.

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

About Federated Hermes, Inc. go to: www.federatedhermes.com

To apply for this job email your details to JobPosting@federatedhermes.com

Similar Jobs
Stay Connected with FARE

Subscribe for updates on our programs and initiatives to diversify the financial services industry.

email address


Lorem Ipsum

Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua.

Consent Checkbox(Required)