Broker-Dealer Compliance Manager

Im recruiting for a growing financial services firm who is looking to hire a full-time Broker-Dealer Compliance Manager to work out of their Bountiful, UT office (just outside of Salt Lake City, UT). They will provide relocation assistance for the right person!

The successful candidate will be responsible for overseeing the firm’s compliance functions and ensuring that all business operations adhere to regulatory standards and firm policies. This role requires a deep understanding of broker-dealer compliance regulations, excellent leadership skills, and the ability to effectively train and guide team members.

Key Responsibilities:

• Compliance Email Supervision: Monitor and review all email communications to ensure compliance with regulatory requirements and firm policies.
• New Business Review Supervision: Oversee the review process for new variable annuity, direct mutual fund, and all other Broker-Dealer business, ensuring they meet all compliance and regulatory standards before implementation.
  
• Existing Business Review Supervision: Conduct regular reviews of existing variable annuity, direct mutual fund, and all other Broker-Dealer business , ensure ongoing compliance and identify areas for improvement.
• Compliance: Develop, implement, and maintain comprehensive compliance programs and policies. Respond to regulatory inquiries and conduct internal audits.
• Training: Develop and deliver training programs to educate staff on compliance policies, regulatory changes, and ethical conduct.
  

Requirements

Requirements:

• Required licensing: Series 9/10 or 24 (Required, Series 24 Preferred.)
• Proven experience in a supervisory role within a broker-dealer environment.
• Extensive knowledge of broker-dealer regulations and compliance requirements.
• Strong leadership and organizational skills, with the ability to manage multiple tasks simultaneously.
• Excellent communication skills, both verbal and written.
• Ability to work effectively with all levels of staff, management, and regulators.
• Detail-oriented with a proactive approach to problem-solving.

Benefits

Full time with benefits, including 401K.