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Job ID Number: 1255541674
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Hot Jobs |
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| Job Title: |
Director- Regulatory Compliance |
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| State/Location: |
Vermont |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
The primary focus is handling customer complaints, regulatory inquiries (including customer complaint-related inquiries, sweeps, firm-based, etc.), directing and conducting the testing required by NASD Rule 3012, as well as drafting of the report to senior management at the direction of the Chief Compliance Officer (CCO).
Recommends changes to the Firm's Written Supervisory Procedures based on testing results, complaints and regulatory changes.
Responsible for conducting internal inquiries of Registered Representative (RR) when presented with possible volatile behavior and drafting disciplinary letters.
Manages staff of two compliance associates, who conduct field audits, approve the Company's incentive materials and provide general compliance support to the field.
Key Responsibilities
• Assist the CCO in conducting audits/tests of written supervisory procedures, controls and practices for compliance with regulatory requirements. Assists the CCO in obtaining the annual compliance certification from the firm's CEO.
• Responsible to review new rules, regulations and proposals to determine impact to firm and make recommendations to the CCO and Management of appropriate changes to the firm's policies and procedures.
• Responsible to assist in responding to regulatory inquiries.
• Investigate potential violations of regulatory requirements or firm procedures by associated persons and make recommendations regarding appropriate disciplinary action.
• Receive, track and assist in the resolution of complaints against the company or its associated persons.
• Responsible for assisting in developing and implementing policy and procedures
• Assist in the analysis exception reports for inappropriate activities, such as excessive activity or missed mutual fund breakpoints, inactive investment advisory accounts, accounts inconsistent with account objectives, change in account address/investment objectives; report to Management of finds and assist in resolving noted issues.
• Review of independent Registered Independent Advisor (RIA) activities, including review of ADVs, away transactions, written supervisory procedures, coordination of RR/RIA audits.
• Assist in needs analysis, development and monitoring of heightened supervision for field representatives.
Requirements
• 5-10 years of industry experience, specifically securities compliance.
• NASD Series 7 and 24 licenses preferred.
• A bachelor's degree or equivalent in years of experience and knowledge is preferred.
Please send resumes to Jack Kelly at JKelly@ComplianceSearch.com
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