An exceptional opportunity to join a leading firm, offering a highly competitive salary and a pivotal role in steering compliance strategies
Compliance Officer – AVP/VP
in Financial Services PermanentJob Detail
Job Description
Responsibilities/Job Duties:
- Handle all broker dealer clients for the firm
- 25% travel maybe required
- Must have Broker Dealer compliance experience
- Establish, review, and modify company policies and procedures for compliance with applicable laws and regulations
- Monitor federal, state, and local legislative guidelines for potential changes to policies and their impact on the company
- Serve as primary contact with external auditors for regulatory compliance examinations
- Guide the company in the establishment and enhancement of policies to mitigate compliance and other regulatory risks
- Prepare and present compliance program reports to the board through analyzed data
- Conduct periodic evaluations of compliance framework and determine areas for changes or improvements
- Provide input and advice on new business initiatives and complex transitions
- Assess risk when business decisions are made while demonstrating appropriate consideration for the company's reputation
- Develop and conduct new training programs to educate on compliance requirements and procedures
Qualifications:
- Bachelor’s degree in compliance, audit, legal, or other control-related function in financial services required
- Advanced degree (MBA or JD) a plus
- Five to ten years of relevant experience in compliance, legal, and/or regulatory work
- Experience in planning, executing, and reporting on compliance testing reviews
- Extensive knowledge of auditing principles, including audit planning, risk assessments, development of risk and controls, etc.
- Understanding of compliance laws, rules, and regulations
- Effective negotiation and interpersonal skills
- Strong oral and written communication skills
- Advanced analytical skills and proficiency in Microsoft Office
Required skills
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