AVP, Compliance Control Room

Wedbush; New York (NY); Hybrid; USD 66,000 - 79,000; Full time

Job summary

Wedbush Securities seeks an AVP, Compliance Control Room, to oversee controls mitigating conflicts of interest and information barrier integrity. Hybrid role based in New York City. You will monitor employee trading, implement policies, and coordinate cross-department compliance efforts.

The position requires strong regulatory knowledge, 5+ years in the industry, and excellence in analysis and communication. A structured program supports ongoing training and policy development.

Qualifications

• Bachelor's degree from an accredited university required.
• Minimum 5 years experience at a registered broker-dealer, investment manager, or US bank.
• Understanding of protecting confidential and material non-public information.
• Understanding of FINRA, SEC and other regulatory requirements.
• Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint).
• Ability to manage controls to prevent and detect insider trading by employees.

Responsibilities

• Analyze data and derive insights and risk indicators with BI tools.
• Assist in implementing information barrier policies and procedures by maintaining the watch and restricted lists, deal lists and handling conflicts clearance.
• Monitor employee personal trading and electronic communications and perform periodic compliance testing/surveillance.
• Monitor employee gift & entertainment, political contributions, and outside business activities.
• Communicate with Sales, Trading, Research, Investment Banking personnel regarding specific firm transactions and compliance related issues.
• Participate in the drafting of compliance related policies and procedures, making recommendations to develop or enhance CCR procedures.

Skills

Regulatory compliance

Data analysis

Communication skills

Detail-oriented

Problem solving

Independent work

Education

Bachelor's Degree

Tools

Microsoft Office

BI tools

Job description

Job Description

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Private Client Services, Capital Markets, and Clearing & Execution divisions. Headquartered in Los Angeles, California, with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.

Job Description

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Private Client Services, Capital Markets, and Clearing & Execution divisions. Headquartered in Los Angeles, California, with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.

We are currently seeking an AVP, Compliance Control Room, who will oversee controls designed to mitigate conflicts of interest, protect confidential information, and preserve the integrity of the firm’s information barriers. This is a hybrid role that can be based in New York City.

Responsibilities Include, But Are Not Limited To

• Analyze data and derive insights and risk indicators with the help of business intelligence tools
• Assist in implementing information barrier policies and procedures by maintaining the watch and restricted lists, deal lists and handling conflicts clearance
• Monitor employee personal trading and electronic communications and perform periodic compliance testing/surveillance
• Monitor employee gift & entertainment, political contributions, and outside business activities
• Communicate with Sales, Trading, Research, Investment Banking personnel regarding specific firm transactions and compliance related issues
• Participate in the drafting of compliance related policies and procedures, making recommendations to develop or enhance business unit procedures as they relate to Compliance Control Room (CCR)
• Act as the gatekeeper and chaperone with respect to permitted conversations between the restricted groups of employees and potential compliance issues arising out of monitored interactions
• Respond to compliance related questions from management and staff
• Assist in keeping the CCR current on relevant regulatory changes
• Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; performing and/or overseeing information for compliance reporting to management
• Develop, coordinate and deliver initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies
• Analyze and report of relevant risk indicators and assist in identifying and remediating emerging compliance risks
• Manage multiple, deadline-oriented tasks in a fast-paced environment
• Respond to regulatory inquiries, interacting with regulatory examiners and internal auditors, and provide advice and guidance to business partners
• Perform other duties as required and assigned

Experience And Skills

• Bachelor's Degree from an accredited university required
• Minimum 5 years experience at a registered broker-dealer, investment manager, or US bank
• Solid understanding of the nature of protection of information, in particular managing confidential and material non-public information
• Understanding of FINRA, SEC and other regulatory requirements
• Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
• Ability to manage controls to prevent and detect insider trading by employees
• Highly organized with the ability to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
• High levels of ethics, integrity and judgment
• Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization
• Extremely detail-oriented, strong analytical, problem-solving and critical-thinking skills
• Self-starter able to work independently with minimal supervision as well as within a fast-paced team environment

What We Offer

Wedbush Securities (WS) aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm provided equal opportunities to succeed.

The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $48.00/hr to $57.00/hr. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to location; skill sets; experience and training; licensure and certifications; and other business and organizational needs.

Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities here??https://www.e-verify.gov/employees/e-verify-overview

This position is subject to various laws or regulations that impose restrictions or prohibitions for employment with Wedbush due to criminal history. Those laws or regulations include but are not limited to, the following: Securities Exchange Act of 1934 (SEA) Rule 17a-3, et. seq., Financial Industry Regulatory Authority (FINRA) Rules 3110(e), Rule 4530(a), etc., and FINRA Regulatory Notice 07-55.