AVP, Compliance Control Room – Hybrid NYC

Wedbush; New York (NY); Híbrido; USD 66 000 - 79 000; Tempo integral

Resumo da oferta

Wedbush Securities seeks an AVP, Compliance Control Room in a hybrid New York City role. You will oversee controls to mitigate conflicts of interest, protect confidential information, and maintain information barriers.

Responsibilities include monitoring communications, testing compliance, and drafting policies for CCR. Candidate must have a Bachelor's degree and 5+ years in a broker-dealer or US bank, with strong regulatory knowledge and Excel-level proficiency.

Qualificações

• Bachelor's degree from an accredited university required.
• Minimum 5 years experience at a registered broker-dealer, investment manager, or US bank.
• Strong understanding of the protection of information and handling confidential data.
• 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.

Responsabilidades

• Analyze data and derive insights and risk indicators with BI tools.
• Assist in implementing information barrier policies and procedures by maintaining watch/restricted lists and 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 regarding transactions and compliance issues.
• Draft compliance policies and procedures and recommend enhancements for CCR.
• Act as gatekeeper and chaperone for conversations between restricted groups of employees and potential compliance issues.
• Respond to compliance questions from management and staff.
• Keep CCR current on regulatory changes and develop monitoring metrics for CCR.
• Coordinate and deliver training on applicable laws and policies.
• Analyze risk indicators and assist in identifying/remediating emerging risks.
• Manage multiple deadlines in a fast-paced environment.
• Respond to regulatory inquiries and interact with examiners and auditors.

Conhecimentos

Analytical thinking

Communication skills

Regulatory knowledge

Ethics integrity

Attention to detail

Multi-tasking

Independent worker

Formação académica

Bachelor's Degree

Ferramentas

Microsoft Office

Descrição da oferta de emprego

Wedbush Securities seeks an AVP, Compliance Control Room in a hybrid New York City role. You will oversee controls to mitigate conflicts of interest, protect confidential information, and maintain information barriers.

Responsibilities include monitoring communications, testing compliance, and drafting policies for CCR. Candidate must have a Bachelor's degree and 5+ years in a broker-dealer or US bank, with strong regulatory knowledge and Excel-level proficiency.