Regulatory Compliance Officer

Full Time

Investing Client

Office Status: Hybrid (3 days a week in office)

Responsibilities:

  • Continually improve Compliance Program for relevant entity by utilizing applicable regulations, risk management techniques, and business area knowledge to maintain and test relevant policies and procedures that comprise the compliance program.
  • Identify and react to changes in regulatory requirements impacting the broker/dealer.
  • Develop and maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Finds, interprets and implements directives and/or regulation that impact(s) the current compliance environment.
  • Execute on our broker-dealer compliance functions.
  • Work with the broker-dealer Operations and Trading teams to ensure regulatory compliance with applicable rules and regulations.
  • Complete the annual review of the broker-dealer’s compliance.
  • Manage broker-dealer core compliance obligations, including, registration processes, continuing education, annual training.
  • Update written supervisory procedures and draft desktop procedures for broker-dealer functions.
  • Assist with our regulatory and annual compliance examinations.
  • Monitor employee communications in accordance with the firm’s e-surveillance program.
  • Coordinating with federal and state regulators.
  • Planning, implementing and overseeing risk-related programs and Assisting with compliance questions and other needs.
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