EXTERNAL CLIENT ROLE
• Work with Compliance Control Rooms globally and other legal entities in the Americas to lead a coordinated effort throughout the organization.
• Provide advice on regulatory and compliance requirements to business unit management and staff so that they may conduct their business in conformance with regulatory requirements.
• Ensure that regulatory guidance establishes a reasonably designed supervisory system.
• Draft and update existing policies and procedures.
• Ensure that global distributed research produced/distributed by the firm is reviewed/cleared on a timely basis to ensure compliance with rules, regulations, policies and procedures.
• Maintain Restricted List and Watch List.
• Manage Wall Crossings and maintain up to date insider lists / above the wall lists.
• Manage a Conflicts of Interest program.
• Review potential employee conflicts such as Outside Business Activities, Personal Trading and Email Communications.
• Conduct monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements.
• Interface with regulators and Internal Audit during compliance related examinations / audits related to coverage area.
• Research and draft responses to regulatory inquiries.
• Advise business units on the maintenance of their policies and procedures with focus on current compliance framework as reference point.
• Coordinate and work with affiliates to address cross border issues, reporting requests and special projects.
• Seek operational efficiencies and automation of processes to reduce risk of manual processes.
• Provide training to covered business units.
• Lead / Contribute on various reporting requirements and other ad hoc investigations.
• Work closely with other supports units to help create and maintain best practice across the Firm.
• Strong foundation in US securities laws and regulations and broker dealer operations.
• Leadership role in a global control room.
• Ability to communicate this knowledge and applicability to affiliate operations.
• Must be well organized with prioritization and project management skills on a global scale.
• Must be able to strategize and deliver globally across multiple entities.
• Ability to manage multiple assignments and build consensus among stakeholders
• Ability to translate technical subject matter and convey it in easily understandable components for the clients.
• Attention to detail and discipline to follow up on issues until resolved.
• Understanding of the products, services and business of affiliates.
• 15+ years of regulatory compliance experience at broker dealers.
• Bachelor’s degree
• None required but FINRA Series 7, 24, 79 or JD would be a plus.