AVP, Compliance Control Room Lead

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

Job summary

Wedbush Securities in New York City is seeking an AVP, Compliance Control Room to oversee controls mitigating conflicts of interest and protect information barriers. The role is hybrid and based in NYC.

You will analyze risk indicators with BI tools, monitor personal trading, assist in policy deployment, and prepare compliance reports for management while staying current with regulatory changes.

Qualifications

• 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 protection of information and confidential/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.
• High levels of ethics, integrity and judgment.
• Excellent communication and presentation skills across departments.

Responsibilities

• Analyze data and derive insights and risk indicators with BI tools.
• Assist in implementing information barrier policies and procedures.
• Monitor employee personal trading and electronic communications and perform compliance testing.
• Monitor gifts, entertainment, political contributions, and outside business activities.
• Communicate with Sales, Trading, Research, and Investment Banking on compliance issues.
• Draft compliance policies and procedures; suggest improvements to CCR processes.
• Act as gatekeeper for conversations between restricted groups and potential issues.
• Respond to compliance questions from management and staff.
• Keep CCR updated on regulatory changes and evolving requirements.
• Develop and deliver training on applicable laws and policies.
• Analyze risk indicators and help remediate emerging risks.
• Manage multiple deadline-driven tasks in a fast-paced environment.
• Respond to regulatory inquiries and assist auditors and examiners.

Skills

Regulatory knowledge

Communication

Attention to detail

Multi-tasking

Independent work

Education

Bachelor's Degree

Tools

Microsoft Office

Job description

Wedbush Securities in New York City is seeking an AVP, Compliance Control Room to oversee controls mitigating conflicts of interest and protect information barriers. The role is hybrid and based in NYC.

You will analyze risk indicators with BI tools, monitor personal trading, assist in policy deployment, and prepare compliance reports for management while staying current with regulatory changes.