Manager, Compliance

Your opportunity

We are looking for a Manager to support our dynamic Employee Compliance Team. The Employee Compliance Team covers Registration, Employee Monitoring and Reporting, Compliance Certifications, Personal Account Disclosures, Employee Conflicts Reviews and Gifts and Entertainment policy adherence.

Responsibilities include:

• Monitor adherence to the Personal Activities and Disclosure Standards.
• Review disclosures of personal securities accounts, outside business activity requests and private securities transactions and take appropriate action.
• Perform daily reviews of personnel trading and account activities using our proprietary surveillance tool, vendor systems, statements, and reports.
• Prepare reports in response to Regulatory and Audit Requests.
• Prepare MIS for manager, Compliance Partners and Business Leaders.
• Perform conflict reviews to identify trends and areas of potential risk.
• Serve as the subject matter expert on the relevant policies and provide compliance advice as needed.
• Participate in industry calls/meetings/committees with colleagues from peer firms and regulators to ensure awareness of new and changing regulatory requirements to determine impact to firm.
• Cross train on other areas of Employee Compliance: Employee Monitoring, Registration, Gifts and Entertainment.

What you have

• BA/BS degree or equivalent experience
• 5 years professional experience in a broker-dealer business, Supervisory or Compliance experience preferred.
• Strong working knowledge of securities industry rules and regulations, applicable policies to and ability to distill practical applications of such rules, regulations, and policies.
• Proven ability to identify and solve complex issues in a team environment working with various levels of management and business partners.
• Excellent communication skills (verbal and written)
• Detail oriented with the ability to juggle multiple tasks of varying degrees of urgency and meet deadlines.
• Prior experience using relevant regulatory systems (e.g., WebCRD, IARD, ORS, NMLS, etc.) is a plus.
• Strong verbal and written communication skills, with the with the ability to communicate and work with all employee levels, including senior management.
• Strong analytical and advanced Microsoft Excel skills preferred.
• Proficiency with Microsoft Excel and PowerPoint
• Experience with Tableau, Microsoft Excel, and other database management tools such as Microsoft SQL Server preferred.