Chief Compliance Officer – Broker Dealer recruitment
Chief Compliance Officer – Broker Dealer
Description:
• Implement a supervisory system, including the updating and drafting of written supervisory procedures, anti-money laundering procedures and a business continuity plan
• Review and process registration requests and updates, including filing of Form U-4 and Form U-5
• Review email communications
• Update and implement process for annual review required under Rule 3012. Report results of review to the firm’s President and Board of Directors
• Review and approve correspondence and marketing materials distributed by registered representatives for fair and balanced content and appropriate disclosure
• Conduct AML reviews, including KYC, Customer Identification, and suspicious activities reviews
• Enhance and implement audit process for the firm’s registered branch offices. Analyze office activities to determine if branch office status is required under FINRA Rules
• Liaise with regulatory examiners during on site examinations and routine inquiries
• Coordinate meetings re: quarterly compliance reviews
• Provide compliance support to registered employees
• Review employees’ outside business activities, including outside accounts
• Implement annual Firm Element Continuing Education training program
• Oversee compliance with the Regulatory Element of Continuing Education
Requirements:
• 8 – 15 years of compliance experience within a Broker Dealer environment
• Expert knowledge of FINRA and SEC Rules and Regulations covering the activities of a registered Broker Dealer
• Familiarity with Commercial Paper, Derivatives and Private Equity a plus
• Series 7 and 24
• Basic understanding of the asset management business
• Interaction with senior level capital markets employees
• Strong communication and inter-personal skills
• Presentation skills
• Familiarity with systems and office automation
• Familiarity with back office procedures
• Writing skills