Compliance Manager

4 weeks ago


Charlotte, North Carolina, United States BCI - Brokerage Consultants Inc Full time

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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