Compliance Manager- NY Broker Dealer-Investment Bank

Job Details and Responsibilities

Job Overview:

We are seeking a highly skilled and experienced Compliance manager. This role requires a minimum of 5 years of experience working at a Self Clearing Broker-Dealer with knowledge in Investment Banking and Trade execution, with a focus on supervisory responsibilities. The ideal candidate will be adept at ensuring regulatory compliance, overseeing filing requirements, and maintaining effective supervisory controls within the Broker Dealer and maintaining and updating policy and procedures.

Key Responsibilities:

• Compliance Oversight: Ensure and verify all investment banking activities adhere to regulatory requirements and internal policies. Monitor and enforce compliance with FINRA, SEC, and other relevant regulations.


• Filing Requirements: Conduct the preparation and submission of regulatory filings and reports, ensuring accuracy and timeliness in compliance with industry regulations.


• Risk Management: Identify and assess potential compliance risks, implementing strategies to mitigate these risks effectively.


• Policy Implementation: Develop and enforce compliance policies and procedures, ensuring they are updated in line with regulatory changes and industry developments.


• Audit Support: Coordinate with internal and external auditors, providing necessary documentation and addressing any findings or concerns.

Qualifications:

• Experience: Minimum of 5 years of experienceat a Self Clearing Broker Dealer dealind with investment banking. Strong understanding of compliance and supervisory functions within the investment banking sector.is a must


• Licenses: "Must Have" Series 7, 24, and Series79 would be a plus.


• Skills: Excellent analytical skills with the ability to interpret complex regulations. Strong communication and leadership skills to effectively manage and guide compliance teams. Proficiency in regulatory filing and processing.