Our client, a well-known Financial Services firm, is looking to add a Senior Compliance Manager to their team! Responsibilities of this position include maintaining firm-wide compliance with new and established policies and procedures, engaging with external regulators (including FINRA and the SEC) during regulatory examinations, and overseeing the preparation and submission of regulatory reports.
The ideal candidate will come with at least ten years' experience in compliance management for a large Broker Dealer, experience in policy and procedure implementation, and active FINRA 7 and 24 licenses.
Responsibilities Include :
- Maintaining, updating, and implementing new and existing firm-wide compliance policies and procedures
- Facing off with regulators (FINRA, SEC, etc.) to support regulator exams
- Overseeing the regulatory reporting process and reviewing submissions of SEC 15c3-5 and MSRB
Requirements :
- At least 10 years of experience in compliance management for a large Broker Dealer
- FINRA Licensing in Series 7, 24, and 63
- Exceptional verbal and written communication skills.
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