International Wealth Management Compliance Officer
Position Description
The position requires extensive knowledge of cross- border sales practice issues as they relate to a retail and ultra high net worth broker dealer.
Primary responsibility will be to give advice regarding the marketing and sale of securities from the USA to clients located in non-US jurisdictions, with a concentration of clients from Latin America. This function will also include the development and implementation of surveillance systems, policies, procedures, and monitoring and testing involving trading and product development as related to non-resident clients.
The successful candidate will work closely with the Legal and Risk Departments as well as the business unit.
In addition, the successful candidate will supervise and coordinate special projects as they relate to the compliance function. Past projects have included the review of product sales to clients in Latin American countries, and the review of lending practices for non-resident clients.
Skills Required
The ideal candidate should possess the knowledge of appropriate regulatory rules, possess strong analytical and interpersonal skills, have the ability to interact will individuals at all levels to devise, implement, and enhance policies, procedures and surveillance tools.
Skills Desired
Series 7, Series 63 or 66, Series 8 or Series 9 10
Fluency in Spanish and/or Portuguese is a plus.
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