Wedbush Securities Vice President

3 days ago

New York, New York, United States Wedbush Securities Full time
About Us

Wedbush Securities is one of the largest securities firms and investment banks in the nation. Our mission is to provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions.

Job Description

The Vice President, Capital Markets Compliance Officer plays a critical role in ensuring the company's compliance with regulatory requirements and internal policies. The ideal candidate will have extensive knowledge in equity and fixed income institutional trading, investment banking, and research activities, as well as 10+ years of related experience in a broker/dealer operations and/or compliance position.

Responsibilities

The successful candidate will be responsible for designing and executing regulatory compliance testing for Capital Markets business, testing compliance with policies and standards, and identifying key risk control gaps and deficiencies. Additionally, they will work with the business supervision team to ensure all applicable rules and products are identified, collaborate with other compliance colleagues to ensure consistency in testing and rule interpretation, and monitor the Capital Markets Division's compliance with SEC, FINRA and other applicable regulations.

Requirements

To be successful in this role, you will need to possess the following qualifications:

  • Bachelor's Degree from an accredited university
  • Extensive knowledge in equity and fixed income institutional trading, investment banking, and research activities
  • 10+ years of related experience in a broker/dealer operations and/or compliance position
  • FINRA Series 7, 24, 63 licenses required
  • Understanding of FINRA, SEC and other regulatory requirements around trading and market making activities
  • Experience overseeing compliance obligations of firms with syndicate, research, and investment banking businesses
  • Highly organized with ability to multi-task and manage multiple projects and competing priorities
  • Excellent communication and presentation skills
  • Strong analytical, problem-solving, critical-thinking skills and extremely detail-oriented
  • Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint) and ability to travel at least 30%
Benefits

We offer a comprehensive benefits package that includes:

  • Comprehensive medical, dental, and vision coverage with multiple health plan options
  • Health Savings Account (HSA) with company-sponsored contributions
  • Flexible Spending Accounts (FSA) traditional and dependent care
  • Pre-Tax Commuter Benefits
  • 401(k) Plan: competitive discretionary company matching and profit-sharing contributions
  • Tuition reimbursement ($5,250 max per year)
  • Paid Sick Time, Holidays, Volunteer Time Off
  • Paid Leave: Parental Bonding, Jury Duty, Military, Disability, etc.
  • FINRA and Professional License Sponsorship
  • Charitable Donation Matching Contributions
  • Travel & Employee Assistance and Employee Discount Programs
  • Discretionary compensation based on colleague's and the firm's performance

Estimated salary range: $140,000-165,000.

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