VP - Employee Compliance, Central Compliance Team CIB

About the role

The VP, Employee Compliance is responsible for administering the Firm's Employee Compliance Program with a primary focus on Personal Securities Trading ("PST"), Personal Account Dealing ("PAD"), employee brokerage account monitoring, conflicts of interest, and compliance with applicable regulatory requirements and Firm policies.

Responsibilities

• Administer the Firm's Personal Securities Trading and Personal Account Dealing program.
• Review and approve employee personal trading requests, personal account disclosures in accordance with Firm policies and regulatory requirements.
• Maintain employee account inventories and ensure required account certifications and attestations are completed.
• Support monitoring of outside business activities, private investments, and other employee investment activities requiring review or approval.
• Administer employee compliance disclosures and certifications, including Outside Business Activities (OBAs), Private Securities Transactions (PSTs), Gifts and Entertainment, Political Contributions, Conflicts of Interest, Code of Conduct certifications, Annual compliance attestations.
• Support the administration of FINRA registration and licensing requirements, including employee registration status, continuing education obligations, and related regulatory filings.
• Maintain employee compliance records and support documentation.
• Assist in the development and enhancement of employee compliance policies, procedures, and controls.
• Perform reviews and exception analysis related to employee trading and conduct.
• Conduct investigations of potential policy violations and prepare findings, recommendations, and escalation materials.
• Support regulatory inquiries, examinations, audits, and internal reviews.
• Identify trends, emerging risks, and opportunities to enhance monitoring controls.

Requirements

• 5+ Years Compliance, Legal, Regulatory, or Financial Services.
• Experience with employee compliance platforms such as StarCompliance, MCO (MyComplianceOffice), Schwab Compliance Technologies, or similar systems.
• FINRA registrations (Series 7, 79, or similar) preferred or willingness to obtain.
• Demonstrated experience administering personal securities trading or employee compliance programs.
• Strong understanding of FINRA, SEC, and broker-dealer regulatory requirements.
• Experience managing complex investigations and regulatory matters.
• Advanced knowledge of regulatory compliance, relevant industry regulations and regulatory data sources.
• Demonstrated experience facilitating change to achieve measurable results.
• Demonstrated subject matter expertise compliance opportunities and resolution.
• Experience working with surveillance and monitoring tools.
• Strong analytical, investigative, and critical thinking skills.
• Excellent written and verbal communication skills.
• Ability to manage multiple priorities in a fast-paced regulatory environment.
• Ability to be adept in identifying and resolving complex risk management problems.
• Ability to build and foster internal and external relationships.
• Ability to analyze risk and design efficient control practices to minimize risk.
• Ability to lead, influence and direct peers, subordinates and management.
• Ability to make effective decision making on complex matters.
• Ability to convey a sense or urgency and drive.
• Ability to multi-task and meet strict deadlines.
• Ability to adjust to new developments/changing circumstances.
• Ability to interact with senior level management; experience interfacing with multiple levels of the organizational structure.
• Self-directed, self-motivated and demonstrated experience providing ideas and solutions to further business understanding.

Qualifications

• Bachelor’s Degree: in related field or equivalent demonstrated through a combination of work experience, training, military service, or education - Required.
• Master's Degree: in related field or equivalent demonstrated through a combination of work experience, training, military service, or education - Preferred.

Skills

• Strong analytical, investigative, and critical thinking skills.
• Excellent written and verbal communication skills.
• Ability to manage multiple priorities in a fast-paced regulatory environment.
• Ability to be adept in identifying and resolving complex risk management problems.
• Ability to build and foster internal and external relationships.
• Ability to analyze risk and design efficient control practices to minimize risk.
• Ability to lead, influence and direct peers, subordinates and management.
• Ability to make effective decision making on complex matters.
• Ability to convey a sense or urgency and drive.
• Ability to multi-task and meet strict deadlines.
• Ability to adjust to new developments/changing circumstances.
• Ability to interact with senior level management; experience interfacing with multiple levels of the organizational structure.
• Self-directed, self-motivated and demonstrated experience providing ideas and solutions to further business understanding.

Benefits

We offer a comprehensive benefits package that includes:

• Health insurance
• Vision and dental coverage
• Pension plan
• Retirement savings plan
• Flexible spending accounts
• Life insurance
• Disability insurance
• Employee assistance program
• Generous paid time off
• Professional development opportunities
• Work-life balance initiatives

Pay

The base pay range for this position is $135,000.00 USD to $190,000.00 USD annually.

Schedule

This role is currently hybrid and can be performed from either Miami or New York.