AVP, Compliance Control Room - Hybrid NYC

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

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.