Manager, Regulatory Program Management

About the role

This Regulatory Program Management role ensures the reliability and effectiveness of controls and processes across the company. As a recognized master in regulatory requirements, the position ensures adherence to regulatory standards and proper oversight over broker dealer activities. The role is responsible for establishing operating routines and procedures that enable sound supervisory practices.

Responsibilities

• Creates and maintains processes that ensure adherence to regulatory requirements.
• Designs the evaluation and testing of regulatory processes and controls.
• Presents reports of Compliance findings and applicable recommendations to management.
• Leads cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
• Evaluates reporting policies and procedures currently in place within the organization to identify gaps and weaknesses.
• Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.
• Works extensively across Distribution, HR, and technology supporting the execution of Advisor Compensation and Scorecards, including program design, execution and controls.

Requirements

• 5+ years of relevant work experience required; 7+ years preferred.
• FINRA Series 7 registration required.
• FINRA Series 24 registration required (to be obtained within 120 days).

Skills

• Business Acumen
• Business Process Improvement
• Business Process Understanding
• Communication
• Compliance
• Continuous Improvement Mindset
• Detail-Oriented
• General Risk Management
• Influence
• Relationship Management
• Risk Mitigation
• Risk Monitoring

Pay

Base pay range: $92,300/yr – $122,000/yr. Actual base salary may vary based on relevant experience, time in role, internal peer salaries, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include participation in an incentive program linked to performance (e.g., annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).