Compliance Manager
4 weeks ago
Compliance Manager
Institutional fixed income trading firm BCI - Brokerage Consultants Inc seeks a Compliance Manager to ensure compliance with FINRA/SEC regulations, assist with broker-dealer program, and provide guidance to personnel firm-wide.
Responsibilities:
- Maintain in-depth knowledge of business/activities to ensure adequate compliance oversight/resources as business needs evolve over time; advise on emerging compliance issues
- Maintain policies/procedures in Written Supervisory Procedures and anti-money laundering program
- Keep up-to-date and advise businesses on SEC/FINRA/MSRB/SRO laws, rules and regulations, with particular focus on broker-dealer rules and applicable regulations
- Assist with regulatory exams/inquiries; conduct firm/individual registration maintenance on FINRA Gateway
- Identify/respond to ongoing regulatory changes; ensure implementation of required policies/procedures and appropriate operational/compliance oversight
- Review personal accounts for adherence to stated personal trading policy
- Assist with annual compliance program review/testing; perform periodic tests to monitor efficiency of compliance program; assist in preparation of annual compliance reports/ad hoc reviews
- Liaise with various groups/individuals at all levels of firm as needed
Requirements:
- Bachelor's Degree and 5+ years' institutional broker-dealer experience
- Series 7, 63 and 24 (will have to obtain if not currently held)
- Knowledge of fixed income / regulatory requirements
- Strong interpersonal skills; excellent oral/written communication; detail-oriented with strong decision-making/analytical skills; ability to work in fast-paced environment
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