Director, Compliance Risk Management

Found in: Jooble US O C2 - 1 week ago


Minneapolis MN, United States Oak Ridge Financial Full time

Oak Ridge Financial is a well-established financial services firm offering a full complement of brokerage, financial advisory and investment banking services to individuals and corporations through two business lines. First, the Private Client Group is a full-service financial advisory and brokerage unit serving approximately 5,000 clients throughout the U.Second, the Investment Banking Group provides advice on capital raising, mergers and acquisitions and other services to emerging growth companies nationally.

Reporting to the CEO and serving as an integral member of the senior management team, the Chief Compliance Officer will possess proven leadership skills and extensive compliance experience to oversee the retail private client services and investment banking activities of a dually registered broker/dealer and SEC registered investment adviser.

Develop, update, and enforce compliance policies and procedures to ensure the firm complies with relevant SEC, FINRA, MSRB and state rules and regulations.
Conduct periodic risk assessments of firm activities, testing compliance policies, controls and WSPs. Oversee the management of regulatory examinations conducted by the SEC, FINRA, States and other agencies, and respond to regulatory inquiries on a timely basis.
Monitor and ensure employee compliance with all relevant policies, including electronic communication, sales & trading, and business conduct.
FINRA Series 7, 63, 65 or 66, 4, 53, & 24 registrations (or ability to obtain within 90 days of employment)
Five years experience in a Compliance or Supervisory position
Five years prior Compliance experience in a leadership role required


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