Compliance Officer Manager Broker Dealer - Inspections

Compliance Officer
The Compliance Officer manages the general planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. The job supervises professional level employees (typically entry or experienced level) that are responsible for identifying, investigating and reporting compliance risks.
Key Responsibilities and Duties

• Supports the development and implementation of corrective action plans, oversees the correction of compliance deficiencies and works with business unit(s) and/or management team to ensure that similar situations are avoided or handled in the future.
• Manages business unit compliance programs as well as the development, implementation, and revision of policies and procedures as needed to improve the communication, monitoring, enforcement, and/or general operation of business until compliance programs.
• Manages team members through compliance risk assessments, audits, and investigations, while training team members on best practices for identifying potential areas of compliance vulnerability and risk, as well as how to avoid or deal with problematic issues in the future.
• Manages performance of team through regular, timely feedback as well as the formal performance review process to ensure delivery of exceptional compliance programs and to foster team member engagement, motivation, and development.
• Communicates results of compliance and ethics initiatives of the business unit to management, including key takeaways and opportunities for improvement.
• Liaises with business unit(s) and/or management on compliance programs, policies and procedures.
• Develops and implements preventative measures and compliance processes, identifies opportunities to improve the communication, monitoring and/or enforcement of business unit compliance programs and revises policies and procedures to improve the general operation of business unit compliance programs to management.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 5+ Years Required; 7+ Years Preferred

FINRA Registrations

• SRC Indicator: Series 7; Series 24

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
8PL

• 5+ years experience in oversight, coaching, development, performance management, and other supervisory tasks of a team licensed and registered with FINRA Review all inspection activities with the Archer system.

• Assists in the development of the annual Inspection plan and enhancing inspection methodologies and processes to identify any gaps.
• Assist in the preparation and review of training materials and other communications to ensure business units meet compliance requirements as well as help to educate internal clients on changes in rules and regulations and their implications for our business.
• 7+ years experience in oversight, coaching, development, performance management, and other supervisory tasks of a team licensed and registered with FINRA Review all inspection activities with the Archer system.
• Identify and effectively advise management, project leaders, and other employees on compliance risks, controls to mitigate those risks and ensure that business plans meet regulatory requirements.
• Review and approve all inspection activities within the Archer system.
• Travel (25% of the time)to other locations is required to meet with team in other sites.
• Assists in enhancing metrics reporting of inspection plan for senior leaders.
• Series 7 & Series 24 must be obtained within 6 months of hire.
• Support and execute on strategic initiatives

Base Pay Range: $107,800/yr. - $179,600/yr.