We’re seeking a future team member for the role of Senior Vice President to join our Markets Compliance team, focused on supporting the US Broker Dealer. This role can be based in New York City, Pittsburgh, or Lake Mary, FL.
In this role, you’ll make an impact in the following ways:
- Strategic partner to business and platform leads, Compliance, Finance and Operations, responsible for advising various businesses and platforms regarding US broker dealer laws, rules and regulations.
- Work cross-functionally with other businesses and platform Compliance coverage on the design, implementation, and maintain a robust compliance program for new and existing business offerings.
- Conduct risk assessments and collaborate on internal monitoring reviews to identify potential compliance vulnerabilities and implement mitigating controls.
- Analyze existing and proposed legislation, regulatory announcements, and industry practices, and support the business units to develop and implement procedures and/or controls to meet these requirements.
- Support the Chief Compliance Officer in managing the compliance programs for a FINRA broker dealer, including board reporting, management reporting, as well as supporting remediation and process enhancements.
To be successful in this role, we’re seeking the following:
- Bachelor’s degree or professional certification preferred. 5-7 years relevant compliance and/or financial services experience preferred.
- Thorough knowledge of relevant financial industry rules and regulations (SEC & FINRA). Solid understanding of compliance and risk management best practices.
- This is a high-visibility role for a candidate who is eager to proactively manage risk and influence positive business outcomes in a fast-paced, innovative environment.
- Proven ability to influence stakeholders at all levels of the organization and drive compliance initiatives in a collaborative, matrixed environment.
- Experience in the review of investment adviser and broker-dealer advertising and marketing materials a plus.