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Job ID Number: 1260563517
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Regulatory Inquiries |
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| Job Title: |
Regulatory Compliance Officer – AVP |
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| State/Location: |
Northern Florida |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Top tier financial services firm is seeking a Regulatory Compliance Officer AVP for their Florida offices. The firm is willing to relocate the candidate to Florida.
This role involves all aspects of Compliance supporting both entities and the offshore business lines that they services. Responsibilities include (but not exhaustive):
• Establish a strong Compliance Operations Advisory function in the Florida Office that fully integrates with both the firm’s Compliance Department and Compliance Outsourcing team.
• Develop the profile of Florida Compliance by providing a professional advisory service to local business lines.
• Emphasis on the firm’s policies and local legislation.
• Work in coordination with the Compliance team in New York to maintain policies and procedures, and the monitoring of the business’ compliance with those policies and procedures.
• Develop effective partnerships and regular reporting to local Heads of Business and Compliance Management.
• Liaison and maintenance of relations with regulators and authorities through the New York team.
• Supervise the Compliance Monitoring Plan to ensure that tests are performed within the required timescales and that issues are escalated accordingly.
• Oversee the appropriate resolution of complaints and breaches.
• Maintain Compliance procedures and update on a timely basis to reflect regulatory changes as necessary.
• Participate on behalf of Compliance at local executive, operating and steering committee meetings as required.
• Identify, develop and deliver Compliance training where required.
• Work with business lines to ensure that Key Operating Procedures are maintained;
• Contribute to the Bank’s culture whilst supporting the Bank’s objectives and values.
Requirements
• 2 to 5 years of Compliance and or Regulatory Experience.
• Knowledge of Securities and Exchange Commission and FINRA rules, laws and regulations pertaining to Operations. In addition, working knowledge of Regulation W, and 23 A and B.
• Bachelors Degree in Accounting, Finance or International Business or related financial fields.
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
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