We are working on a new Compliance Manager role with a Broker-Dealer client in lower Manhattan. Our client is a full-service, integrated financial services firm that provides investment guidance for high-net-worth individuals and institutions. The position is an add to staff as the firm continues to grow.
Responsibilities:
Branch Office point of contact to help build compliant business partnerships. Branch managers are the direct supervisors of RRs.
Enter trade daily in the order management system
Conduct daily reviews of RR trades
Conduct suitability/best interest reviews of recommended transactions
Review and approve new customer account applications.
Review and approve cancel and corrects.
Conduct review of exception reports and supervisory reports
Coach RRs on trading, policies, Reg Best Interest etc.
Customer service and operational issues
Partner with compliance on client issues and potential complaints
Review all electronic communications (email, text)
CAT daily reviews for error correction, etc.
Daily TRACE / MSRB / EMMA reviews
Monitor supervisory systems related to personal trading accounts; employee gifts, received and given; political contributions; electronic communications.
Assist in the implementation and maintenance of Written Supervisory Procedures and help ensure the firm's adherence
Review and action AML and trade specific exception reports generated by the clearing firm
Required Qualifications:
3+ years applicable experience
FINRA Licensure
If you meet the required qualifications and are interested in this role, please apply today.
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