Broker Dealer Compliance

Overview

• Contribute to the development and implementation of compliance policies for a US broker dealer business.
• Ensure regulatory documentation is accurately maintained and submitted to authorities.
• Conduct compliance oversight, testing, and remediation following FINRA Rule 3012.
• Identify operational risks and implement necessary checks and risk assessments.
• Perform regular compliance reviews including transaction evaluations.
• Provide training and guidance on securities regulations and firm policies.
• Analyze and resolve compliance issues effectively and promptly.
• Monitor regulatory updates to ensure policy adjustments.
• Collaborate with internal departments to address compliance matters.

Key Responsibilities & Duties

• Develop and implement compliance policies aligned with regulatory standards and internal controls.
• Maintain accurate documentation for regulatory submissions and company records.
• Conduct compliance testing and remediation as per FINRA regulations.
• Identify operational risks and implement mitigation strategies.
• Perform regular compliance reviews and transaction assessments.
• Provide training to employees on compliance policies and regulations.
• Analyze compliance issues and provide timely resolutions.
• Monitor regulatory changes and update policies accordingly.
• Coordinate with departments to ensure adherence to compliance standards.

Job Requirements

• Bachelor’s degree in a relevant field or equivalent experience required.
• Minimum of 3 years of compliance experience in the broker dealer sector.
• FINRA Series 7 license required; Series 24 preferred.
• Knowledge of FINRA, SEC, and NFA rules essential.
• Strong analytical, critical thinking, and decision-making skills.
• Excellent verbal and written communication abilities.
• Adept at interfacing with regulators and organizational levels.
• Energetic and results-oriented professional with leadership capabilities.
• Ability to work in a hybrid environment effectively.