Operations Compliance, Director Level
Responsibilities
• Provide senior compliance coverage to the Operations Division for Corporate, Investment Bank and Wealth businesses
• Participate in regulatory examinations and respond to regulatory inquiries relating to Operations
• Develop and implement compliance policy in accordance with applicable rules and regulations
• Conduct training on relevant regulatory rules and topics for the Operations Division
• Partner with Product Compliance and provide compliance coverage to the Regulatory Risk and Control group on matters relating to trade and transaction reporting
• Monitor day-to-day compliance issues and escalate to management as necessary
• Communicate new rules and rule changes to the Operations division
• Provide leadership/mentoring to junior members of the team
Requirements
Basic Qualifications:
• 4 year Bachelors Degree
• 10+ years of Broker/Dealer compliance experience
Preferred Qualifications:
• Series 7 24 preferred
• Expert knowledge of U.S. rules and regulations relating to trade and transaction reporting requirements including but not limited to FINRA, SEC, MSRB, and FRB
• Ability to support point of view when challenged
• Strong presence, analytical skills oral and written communication skills
• Strong interpersonal skills and ability to multi-task
• Excellent public speaking and presentation abilities
• Capable of representing and enforcing compliance while considering the needs of the business
• Motivated, energetic, detail-oriented, organized, articulate, and capable of presenting ideas to varying degrees of managerial personnel
To apply please submit your resume to:
Jack Kelly
JKelly@ComplianceSearch.com
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