The Compliance Officer will work closely with the members of a team focusing on regulatory broker-dealer compliance issues with respect to monitoring public communications, marketing, licensing/registration, handling customer complaints, recordkeeping requirements, supervision, regulatory filings, etc. The Compliance Officer will serve as the primary day to day contact for the business regarding all broker-dealer related compliance matters. The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division.
ssist the Wealth Management Broker/Dealer Entities' CCO in conducting one or more of the following responsibilities.
nalyze marketing material for compliance with regulatory standards including, SEC, Client and MSRB.
Serve as a resource to internal partners with inquiries regarding business communications.
Monitor the existing Broker/Dealer compliance programs.
Monitor, review and challenge risks assessments and testing of compliance programs.
nalyze current Compliance functions and suggest enhancements and standardization, where appropriate.
Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements.
Perform all necessary functions and management reporting for Client Rules 3130.
ssist in the e-mail review/escalation process and lead internal investigations resulting from such reviews.
Train staff on regulatory updates and industry best practices.
nalyze marketing material for compliance with regulatory standards including, SEC, Client and MSRB.
ssist with regulatory exams, audits, production of responses to regulatory inquiries; and support of the transfer agent operations.
Strong abilities in analytical thinking, problem solving, research, and time management
Must have excellent verbal communication and people skills
Client Series 7 and/or Series 24 licenses are preferred.