OneMain Financial Jobs

Essential Duties and Responsibilities

• Provides advisory compliance oversight for retail equities and options trading, including review of exception reporting, trading activities, and corrective actions.

• Partners with business units to strengthen policies, controls, and regulatory adherence.

• Leads and coordinates compliance processes, audits, and reporting.

• Researches and interprets regulatory developments.

• Represents Compliance in cross-functional initiatives, and drive process improvements and automation efforts.

• Represents Business Unit Compliance in cross-Compliance Dept initiatives (Risk and Control Self Assessment, Regulatory Change Management).

• Serves as a subject matter resource to stakeholders while independently managing priorities, projects, and competing demands with strong organizational and interpersonal effectiveness.

• Coaches, trains, and mentors other Compliance associates, as needed.

• Serves as a compliance liaison on various committees and projects representing the interest of the department.

• Attends and delivers presentations at industry-related conferences.

• Researches and drafts responses to regulatory inquiries and exams.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

• Strong knowledge of U.S. equity and options market structure, order handling, execution practices, and retail trading workflows

• Experience in trading, advisory compliance, supervision, or regulatory oversight within a broker-dealer environment

• Solid understanding of SEC and FINRA rules applicable to retail trading (e.g., best execution, Reg NMS, Reg SHO, order routing, options suitability, supervision frameworks, trade reporting)

• Ability to assess trading-related risks, interpret complex regulatory requirements, and apply them pragmatically to business processes

• Analytical capability to review exception reporting, surveillance outputs, and trading data to identify trends and emerging risks

• Strong project management skills, including the ability to lead cross-functional initiatives, manage competing priorities, and deliver results independently

• Experience supporting regulatory exams, audits, and remediation efforts

• Ability to drive process improvements and enhance control frameworks in a dynamic trading environment

Advanced Skill in:

• Administering regulatory notification and filings.

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Identifying and applying appropriate compliance monitoring procedures and tests.

• Preparing oral and/or written reports.

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Strong verbal and written communication.

• Operating standard office equipment and using required software applications.

Ability to:

• Coach and mentor others.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

• Attend to detail while maintaining a big picture orientation.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.

• Work independently as well as collaboratively within a team environment.

• Establish and maintain effective working relationships at all levels of the organization.

• Maintain confidentiality.

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Quantitatively and/or qualitatively process data.

• Formulate and implement department strategies consistent with long-term company goals.

• Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements

• Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in the financial services industry, compliance, or risk management.

or

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.

• Series 7, 55/57 and 4 are strongly preferred

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.