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Job Details

AVP - Compliance (DM0545-003-511)

Job Summary

  • Company: BCI
  • Location: Midwest, Illinois (Midwest)
  • Compensation: Open

Job Description

Title: AVP - Compliance (DM0545-003-511)
Location: Midwest
Compensation: Commensurate with experience.

Summary:
Growing Broker Dealer seeks an AVP-level Compliance professional to direct/supervise/manage various day-to-day aspects of the Compliance Department. The AVP will develop staff, develop policies/procedures, maintain regulatory and company manuals, and work closely with the VP of Compliance to ensure that firm policies/procedures are being followed within these areas.

Responsibilities:
Act as the AML Officer ensuring compliance with all aspects of the Patriot Act, and Anti Money Laundering policies/procedures are being followed both in compliance and operations.
Directly supervise/manage the day-to-day activities associated within audit areas External/Internal audit to ensure that company standards are being met within these areas Perform analysis for audit purposes on compliance procedures and provide input on the company's Written Supervisory Procedures (WSP's), Training and Operational manuals, Educational Meetings and content for FE, CE, AML, and ACM both at a regional and national conference level.
Offer input on the design, facilitate the implementation and perform period review/update to ensure that the company's surveillance and systems are efficient/effective.
Interface with clearing firms/Operations department, implementing new programs/technologies or services that are currently available, and incorporating the applicable systems into the Compliance surveillance systems.
Ensure that company standards are being met within Compliance including the annual CE, ACM, AML and other programs necessary to insure proper compliance with regulatory bodies/company policies.
Interface with FINRA, SEC and various other regulatory agencies as necessary Work closely with the Company's E&O carrier to resolve customer issues, Representative inquiries, coverage, policies/procedures, and participate in negotiations of insurance coverage and Fidelity Bond.
Oversight of regulatory filings including 3070's, form B/D, U4/U5, cash non cash Contract review including Representative Contracts, Credit Unions, Banks, and Financial Institutions, and outside vendors that may be used in Compliance.
Effective/consistent monitoring of discretionary trading by Advisory Representatives Review for accurate information and updates with Advisor Representatives registration Timely review of ADV amendments and other regulatory filings Communicate any new laws and regulations to Advisory Representatives and department associates Work directly with both VP of Compliance and Outside Counsel on Legal issues and items including customer complaints, advisory issues with both Advisor Representatives Registered Representatives, and Regulators

Experience:
4-year degree preferred, or 2 years of college with emphasis on management and organization skills 5-10 years of industry experience in Compliance or Risk Management experience preferred Series 7, 24, 4, 53, 65 or 66 preferred

Candidates interested in applying to this role should e-mail 96t234@brokeragejobs.com.

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