About this role
Role Overview
- Manage Branch Examinations and Internal Investigations Team
- Lead Broker-Dealer and Registered Investment Adviser Compliance Monitoring Plan
- Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules
- Assist in regulatory requests and exams
- Help mitigate risk and ensure the firm meets regulatory obligations
- Develop and prepare compliance reports on risks and trends
Requirements
- Undergraduate degree or equivalent work experience
- 10+ years of experience
- Knowledge and experience within compliance or audit, legal and regulatory environment
- Skill in using computer applications including MS Office Suite, including PowerPoint, Excel, OneDrive, Teams
- Ability to independently identify, assess, and escalate issues requiring senior management attention
- Experience conducting annual compliance assessments under 206-4(7) and FINRA 3130
Benefits
- Growth opportunities and skill development
- Health and well-being benefits
- Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- Banking benefits and discounts
- Reward and recognition programs