Lead Compliance, Broker / Dealer

Responsibilities

• Work with the Vice President, Head of Broker/Dealer Compliance on all aspects of the operations and personnel of the broker/dealer
• Assist the VP, Head of Broker/Dealer Compliance with managing engagements with the firms outside compliance vendors
• Manage and conduct branch office inspections, including implementation of remediation plans
• Affiliate with drafting changes to written supervisory procedures and other broker-dealer compliance manuals
• Affiliate with the review of employee-related compliance requests, and escalate to department leadership, as necessary
• Continually evaluate systems used to meet the requirements of applicable rules and regulations and propose enhancements to increase efficiency and effectiveness
• Affiliate with drafting annual training materials and provide in-person or virtual live training to registered personnel on relevant topics
• Affiliate with regulatory inquiries and help prepare responses under tight deadlines
• Manage the process for issuing disciplinary actions in coordination with the Head of Broker/Dealer Compliance
• Perform reviews of registered representatives' electronic communications, maintain the electronic communications supervision system’s configuration, and perform efficacy reviews of the system’s supervision rules on a quarterly basis, suggesting improvements and refinements
• Actively promote compliance awareness among sales and service personnel

Requirements

• Bachelor’s degree
• Knowledge of FINRA and SEC rules applicable to broker/dealers
• FINRA Series 6 and Series 26 or the ability to obtain both within six months of hire
• 3-5 years of experience in broker/dealer compliance or a related role
• Meticulous attention to detail
• Highly motivated self-starter with a desire to work in a faced -aced environment
• Strong written and oral communication skills
• Strong interpersonal skills with the ability to collaborate with various business units at all levels
• Ability to organize and prioritize workflow and assignments
• Exercise discretion and maintain the highest level of confidentiality
• Advanced proficiency in Microsoft Excel, Word, and PowerPoint