Senior Manager

Description:

The Sr. Manager, Compliance Officer will serve in a Team Lead capacity for the Branch Inspections program. This person will provide oversight of the branch inspections program and ensure timely, consistent inspection completions by the Branch Examiner professionals who conduct branch reviews for the Broker-Dealer and Registered Investment Advisors. This person is responsible for following up on issues resulting from internal and/or external compliance examinations while working effectively and professionally with sales management and others to resolve any issues uncovered through such examinations. They will also work with Compliance Officers with overseeing the monitoring plan to follow compliance risk assessment results and regulatory requirements. Additionally, they will assist in the completion of branch inspections, as needed, and in support of executing against the comprehensive branch inspections plan.

Key Responsibilities And Duties
 

• Oversight, execution, tracking, and other program oversight tasks for the Branch Inspections program and approximately 6 individuals licensed and registered with FINRA.
• Review all inspection activities with the Archer system.
• Assists in enhancing metrics reporting of inspection plan for senior leaders.
• Assists in the development of the annual Inspection plan and enhancing inspection methodologies and processes to identify any gaps.
• Assist in the preparation and review of training materials and other communications to ensure business units meet compliance requirements as well as help to educate internal clients on changes in rules and regulations and their implications for our business.
• Identify and effectively advise management, project leaders, and other employees on compliance risks, controls to mitigate those risks and ensure that business plans meet regulatory requirements.
• Support and execute on strategic initiatives
• Series 7 & Series 24 must be obtained within 6 months of hire.
• Travel to other locations is required to meet with team in other sites, or to assist in the completion of the inspection program.
   

Educational Requirements
 

• University (Degree) Preferred
   

Work Experience
 

• 5+ Years Required; 7+ Years Preferred