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Job ID Number: 1255110960
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Compliance Manager |
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| Job Title: |
AVP, Senior Compliance Officer – Broker-Dealer Division of Asset Management Firm |
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| State/Location: |
Connecticut |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
An international investment management firm seeks a Senior Compliance Officer for their broker-dealer division.
The Senior Compliance Officer assists the Chief Compliance Officer with all compliance activities related to the Firm’s broker dealer.
1. Assist the Chief Compliance Officer in Administering broker dealer’s compliance program;
2. Create, revise and implement compliance policies and procedures
3. Prevent, detect and resolve compliance issues
4. Assist the Chief Compliance Officer with the maintenance of policies and procedures to ensure that they are reasonably designed to achieve compliance with applicable securities laws and regulations and with the rules of the FINRA.
5. Establish, maintain and enforce a system of supervisory control policies and procedures that test and verify that the Firm’s supervisory procedures are reasonably designed to comply with applicable securities laws and the FINRA rules, and amend those supervisory procedures when necessary
6. Conduct an annual review of the businesses in which the Firm engages for purposes of detecting and preventing violations of, and to ensure compliance with, applicable laws, rules and regulations.
7. Work with CCO to ensure that Firm Element Continuing Education Plan for all covered Representatives of the Firm is established, maintained and administered. This includes assisting in the development of the company’s Written Plans and Needs Analysis annually of the broker/dealer’s overall business activities to identify and target specific training needs and tracking of the Firm Element to ensure all registered covered persons receive the required training.
8. Works with CCO on the development , implementation and helps conduct the annual compliance meeting.
9. Assist the CCO with all CAS and Regulatory examinations and audits.
10. Function as backup point person.
11. Conduct broker dealer supervisory control reviews; occasional travel required
12. Ensure completion of branch and non-branch reviews as required.
13. Prepare and file required regulatory reports
14. Administer the firm’s Business Continuity Plan (BCP)
15. Other projects and responsibilities as directed by the Chief Compliance Officer and Senior Management
1. 7+ years securities industry experience with a minimum of 3 years broker dealer compliance experience; investment advisor experience is a plus
2. Solid understanding of securities industry regulatory requirements
3. Highly organized with focused attention to detail and in-depth research skills
4. Excellent oral and written communication skills. Experience coordinating and/or facilitating training of compliance related matters. Ability to communicate with all levels inside and outside of the organization.
5. Experience preparing documentation and responding to internal/external compliance questions.
6. Strong interpersonal and relationship building skills; a respected a team player
7. Bachelor's Degree is required; JD or MBA a plus
8. Must have active FINRA Series 7 and Series 24 securities licenses.
Please send resumes to Jack Kelly at JKelly@ComplianceSearch.com
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