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AVP – Central Compliance

  • NYC
  • Full Time

Apply for the AVP – Central Compliance position

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Broker dealer located in Midtown Manhattan looking to bring on board a “AVP – Central Compliance” to join their team. This role is currently in a hybrid schedule (3 days in office / week).

 

Responsibilities:

 

  • Assist in drafting and maintaining written supervisory procedures
  • Keep up-to-date on regulatory change, horizon scanning and developments across the securities industry; participate in industry working groups, external regulatory committees which helps facilitate and ensure compliance with FINRA and SEC rules and regulation
  • Interact with personnel at all levels of the firm’s business divisions
  • Assist with ensuring all risks and controls are appropriately embedded and continuously reviewed within the appropriate system
  • Responsible for taking accountability for certain key tasks to align with the various requirements of the local regulators
  • Supervise and manage personal account dealing requirements, outside business activities and conflict of interest disclosures
  • Update and file regulatory reports on an annual, periodic or ad hoc basis, and being assisting with registration and licensing requirements of registered persons, including continuing education requirements (i.e. Form BD, Form U4, Form U5)
  • Assist with Control Room responsibilities and working with the London-based Control room to ensure the local maintenance of the Global Restricted and Watch lists, advising and guiding the business on requirements and maintaining and driving the processes surrounding Insider Lists, Wall Crossings etc.
  • Perform daily reviews of business communications for electronic and voice communication surveillance and monitoring
  • Assist in handling the compliance monitoring application for the performance of and routine review of employee personal account dealing, employee trading, outside business activities, private securities transactions, conflict management, charitable contributions and matched giving, gifts and entertainment, annual certifications etc. for North America
  • Assist in the management of and review of marketing materials and communications with the public