Subject Matter Expert - Financial Services Suitability and Sales Practices

Product Management Hoboken, New Jersey


Insurance / Wealth / Private Banking Subject Matter Expert


NICE Actimize is currently seeking an experienced professional to be our Subject Matter Expert in Financial Services Suitability and Sales Practices, within our Financial Markets Compliance line of business.


About the role:

  • You’ll be joining a small but very visible team of specialists within our Product Management area, with a mission to ensure that our customers have the best-in-class surveillance capabilities to help them protect their businesses and satisfy their regulatory obligations.
  • The team comprises subject-matter experts in compliance / surveillance and analytics development.
  • You will be the in-house Subject-Matter Expert for Suitability and Sales Practices; hence you’ll need to be a self-starter and be able to work with minimal supervision.
  • As an expert in your field, we want you to make an impact; we want you to be noticed by both your peers and the industry. That said, our culture is collaborative and supportive so you’ll have all the help you need.


Functions and Responsibilities:

Your responsibilities will include:

  • Own and prioritize the development roadmap for your area of expertise
  • Define and design alert scenarios for surveillance
  • Work with Product Managers to define:
    • business, product and data requirements;
    • test scenarios; and
    • Quality Assurance validation
  • Argue your case to secure development slots
  • Work with PMs and Research and Development teams to develop alert models
  • Work with Sales during pre-sales campaigns and post-sales engagements
  • Represent the team in front of senior management with respect to your area of expertise
  • Cultivate and maintain relationships with customers (and potential customers)
  • Cultivate and maintain relationships with appropriate regulators & SROs
  • Conduct internal and external training
  • Work with Product Marketing and other areas as required
  • Represent the firm at conferences and events
  • Be a thought leader in the field and produce appropriate thought-leadership materials


Skills and Experience:

Must have:

  • Wealth / Private Banking / Insurance Compliance experience



  • Solid understanding of legislation & regulation around Wealth / PB & Insurance (eg. IAA, ‘40 Act, Reg BI); familiarity with other jurisdictions’ regulations a plus (eg. Canada, UK, EU)
  • Solid understanding of Wealth / PB & Insurance products
  • Solid understanding of Suitability & Sales Practices
  • Solid understanding of client - advisor workflows

  • Good familiarity with surveillance / monitoring / supervision, processes and systems
  • Good familiarity with AML / KYC / CDD requirements & processes 
  • Experience at a regulator / SRO a plus
  • Experience with technology implementation a plus
  • Experience with data
  • Basic coding


Desired qualifications  

  • Industry qualifications eg. CAMS
  • Licenses eg. Series 7, 63, etc.
  • Degree in any discipline


Other skills & attributes:

  • Training (internal & external)
  • Public speaking (webinars, podcasts, conferences)
  • Writing (blogs, white papers, internal documents such as Business / Product Requirements)
  • Comfortable dealing with internal stakeholders (eg. developers, QA / testers, senior management)
  • Willingness to push an argument

NICE is committed to provide an environment based on equal opportunity for all qualified applicants and employees. It is the policy of NICE to afford equal employment opportunities to qualified individuals, regardless of age, race, color, creed, religion, citizenship, ancestry, national origin, sex, gender, pregnancy, mental or physical disability, marital status, veteran status, service in the Armed Forces, sexual or affectional orientation, atypical hereditary cellular or blood traits, genetic information, status as a victim of domestic or sexual violence, and/or any other status protected by any applicable federal, state and/or local statute or regulation.