Compliance Counsel

Found in: Lensa US P 2 C2 - 3 weeks ago


Little Rock, United States Stephens Full time

ESSENTIAL DUTIES AND RESPONSIBILITIES

  • Maintain current knowledge of investment industry activity and regulations through regular review of appropriate publications evaluating their applicability to the company and instituting action where required.
  • Respond to inquiries from other departments regarding rules and regulations, their interpretation and/or application to various situations.
  • Coordinate the regulatory agency on-site examinations by NYSE, NASDFINRA, SEC, etc., and provide timely response to their written or verbal information requests.
  • Respond to regulatory agencies examination reports and regulatory inquiries or investigations, as needed.
  • Prepare and coordinate the distribution of various customer disclosures.
  • Participate in the preparation of various client mailings and responsible for final approval of the document(s) for distributed.
  • Assist in the preparation of the annual testing and verification matrix and annual report to management.
  • Assist in the preparation and distribution of the Annual Disclosure Statements and Privacy Policy.
  • Assist in the Preparation and filing Form 17-H Risk Assessment filing, Quarterly and Annually and Make certain regulatory filings as required.
  • Participate in various standing committees including, Business Continuity, Privacy, Anti-Money Laundering, and MSRB Reporting.
  • Assist in developing or changing procedures in coordination with departments affected to increase efficiencies and program effectiveness or to maintain legal compliance.
  • Update the Compliance Manual with changes in procedures and regulations as necessary. Develop other manuals/procedures as needed.
  • Coordinate the annual Firm Element Continuing Education program including conducting the firm needs analysis. This duty is performed annually, about 2% of the time.
  • Review or assist in the review of in-house advertising material, informational brochures, account documents, etc.
  • Provide regulatory required language for customer confirmations and statements and final approval for implementation of any revisions.
  • Assist in coordination of the firms e-mail review system, including setting thresholds for review, items to be pre-reviewed, etc. Conduct e-mail reviews as needed for compliance with regulatory rules and regulations and in-house policies.
  • Draft and issue Compliance Alerts as needed.
  • Perform other functions and tasks as may be assigned by management.


EDUCATION AND EXPERIENCE

Professional degree (J.D., Ph.D., M.D., etc); 3 years related experience and/or training, or equivalent combination of education and experience, preferred

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