The Compliance group serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer’s compliance risk. The individual will work as a partner with the compliance team and management in communicating the company’s culture of compliance. The individual will be responsible for the coordination and timely updates of rule changes, management reports, policies, procedures, compliance reminders as well as responses to regulatory inquiries and examinations. The individual must be familiar with US securities laws and regulations, including opining on the adequacy and effectiveness of compliance processes. The individual will be one of the contacts for regulators such as FINRA.
Provide advice and oversight of compliance with US securities laws and regulation and act as a contact for regulators. This position will report directly to the CCO. No direct reports.
• Responsible for the coordination and drafting of management related reports on a timely basis.
• Communicate policies, procedures and new regulatory requirements simply and efficiently to affected business and infrastructure units in order to minimize bureaucracy and process burden.
• Design, implement and maintain Compliance policies and procedures to ensure consistency in achieving industry best practices and in minimizing regulatory risk.
• Coordinate compliance regulatory examinations / inquiries and support the drafting of responses to these requests for information.
• Coordinate, draft and present training materials.
• Establish and maintain a strong relationship with regulatory authorities.
• Provide thought leadership and subject matter expertise for compliance issues.
• At least 5-8 years of experience in financial services regulatory related work
• Strong writing skills – writing sample required
• Legal skills a plus
• Proficient in MS Office