Senior Compliance Manager

Bessemer Trust; New York (NY); Hybrid; USD 175,000 - 240,000; Full time

Job summary

A leading wealth management firm is seeking a Senior Compliance Manager to oversee Broker-Dealer and Core Compliance Programs. The ideal candidate will have extensive experience in compliance, strong leadership skills, and a deep understanding of regulatory requirements. This role involves managing compliance programs, conducting inspections, and ensuring adherence to industry regulations. Join a dedicated team focused on providing exceptional client service and maintaining high compliance standards.

Benefits

Competitive base salary plus discretionary annual bonus

401(k) plan with profit-sharing

Tuition reimbursement support

Comprehensive medical, dental, and vision plans

Employee assistance and wellness programs

Paid time off and paid parental leave

Employer-paid life insurance

Qualifications

• 10+ years in a Compliance role for a broker-dealer.
• Series 7 and 24 licenses required.
• Comprehensive knowledge of securities rules and regulations.

Responsibilities

• Manage Broker-Dealer and Core Compliance Programs.
• Conduct branch office inspections.
• Implement effective policies and procedures.

Skills

Leadership

Analytical skills

Communication

Project management

Interpersonal skills

Education

Bachelor’s degree

Tools

MyComplianceOffice

GlobalRelay

Job description

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Senior Compliance Manager – Broker-Dealer and Core Compliance

Bessemer Trust is seeking an experienced and dedicated Senior Compliance Manager to join our Compliance team. The Senior Compliance Manager will assist in administering the Broker-Dealer and Core Compliance Programs. The ideal candidate will have extensive experience in broker-dealer and core compliance, strong leadership skills, a deep understanding of FINRA and SEC regulations, and the ability to stay abreast of regulatory developments and industry best practices.

Key Responsibilities

• Assist in the management of Bessemer’s Broker-Dealer and Core Compliance Programs.
• Assist with the management and daily oversight of Compliance team member(s).
• Maintain and demonstrate a thorough understanding of the regulations applicable to broker-dealer and affiliated bank activities; stay abreast of regulatory developments and industry best practices.
• Serve as key Compliance adviser to the business on various broker-dealer and core compliance areas, such as training and licensing requirements, personal trading, outside business activities, and gifts and entertainment.
• Conduct broker-dealer branch office inspections.
• Maintain Bessemer’s electronic communications review program, which includes managing and performing electronic communications surveillance, system review and maintenance, and reporting.
• Manage and assist with the review of employee personal trading, private securities transactions, outside business activities, and gifts and entertainment.
• Oversee the completion of Registered Representatives’ Form U4s and Form U5s.
• Prepare certain board and oversight committee materials and other reporting as needed.
• Implement and enforce effective policies and procedures in accordance with applicable laws and regulations.
• Assist in FINRA exams and Internal Audit reviews.
• Responsible for managing Form BD, Form BR and Form CRS updates.
• Monitor and follow-up on FINRA Regulatory Element Continuing Education requirements. Administer Firm Element Training/Annual Compliance Meeting.
• Perform other Compliance related duties, as assigned.
  
  

Qualifications

• Bachelor’s degree required; other related degrees, certifications, experience and training, a plus
• 10+ plus years in a Compliance role for a broker-dealer, preferred
• Series 7 and 24 licenses required
• Demonstrate comprehensive knowledge of securities rules and regulations, including FINRA and the SEC
• Proficiency in MyComplianceOffice and GlobalRelay is a plus
• Excellent analytical, written and oral communication skills
• Prudent and practical judgment and high level of integrity
• Excellent organizational and project management skills
• Proactive in approach with ability to collaborate effectively; excellent interpersonal and client service skills
• Some management experience, or a desire to obtain management experience
  
  

About Bessemer Trust

Bessemer Trust is a family office, overseeing more than $200 billion in assets for over 3,100 individuals and families of substantial wealth. Its more than 1,200 employees are singularly focused on private wealth management — disciplined investment management, sophisticated wealth planning, comprehensive family office services, and highly personalized client service.

Established in 1907 as the family office for Annie and Henry Phipps, Bessemer Trust is in its seventh generation of ownership by the Phipps family. As a self-made entrepreneur, Henry Phipps was a founding partner and chief financial officer of Carnegie Steel.

Bessemer Trust retains its original focus as a privately owned and independent wealth manager deeply committed to its mission of providing peace of mind to its clients. Bessemer’s adherence to putting clients’ interests first, fiduciary mindset, and highly collaborative culture are at the heart of everything the firm does.

Key Facts

• For 118 years, Bessemer Trust has operated continuously in a single line of business, independently owned by one family.
• Headquartered in New York’s Rockefeller Center, Bessemer Trust has 22 offices in total. Woodbridge, NJ, is one of the firm’s largest offices, which hosts a wide range of technology and operations professionals. In addition to its sizable presence in New York and Woodbridge, the firm provides client service through offices in Atlanta, Boston, Chicago, Dallas, Delaware, Denver, Garden City, Grand Cayman, Greenwich, Houston, Los Angeles, Miami, Naples, Nevada, Palm Beach, San Diego, San Francisco, Seattle, Stuart, and Washington, D.C.
• To watch a video about Bessemer Trust’s history, click here.
• To learn more about Bessemer Trust, click here.
  
  

About Our Employee Rewards And Benefits

We provide exceptional rewards and benefits that are among the best in the industry, giving our people access to a wide range of options, including:

• Competitive base salary plus discretionary annual bonus for select positions
• A 401(k) plan with a generous annual profit-sharing contribution
• Personalized development and career opportunities, including tuition reimbursement support
• Comprehensive medical, dental, and vision plans with zero contributions for employee coverage
• Employee assistance (EAP) and wellness programs
• Hybrid work environment: 60% in office, 40% remote for most positions
• Paid time off and paid parental leave
• Employer-paid life insurance and short- and long-term disability coverage
• Legal services and financial wellness plans at no cost to employees
  
  

The base salary range for this position is $175,000.00 - $240,000.00. Actual salaries will vary and will be based on various factors, such as skills, experience, and qualification for the role. It is not typical for offers to be made at or near the top of the range. In addition, this position may be eligible for a discretionary incentive based on individual and company performance.

Eligible employees may participate in a 401 (K) program with a company profit sharing contribution, medical, dental, vision, life insurance and disability covering and paid holidays, vacation, and sick days.

Bessemer Trust is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. We encourage candidates of diverse backgrounds to apply.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

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