Compliance, Assistant Vice President

COMPLIANCE ASSOCIATE VICE PRESIDENT





SUMMARY:

This position requires daily interaction with various departments within the firm at all levels. The candidate should be comfortable interacting with different levels of business lines and management. The role requires the ability to conduct presentations and ongoing training sessions. Candidate should be detail oriented, a conscientious self starter requiring minimum supervision, and possessing strong analytical and problem solving skills.

DUTIES:

· Assist in maintenance of e-communications monitoring systems

· Assist in review of advertising and sales literature

· Conduct new hire orientation and manage new hire materials

· Assist with developing firm training plan

· Conduct audits as necessary

· Assist in responding to regulatory inquiries and keep up-to-date with relevant regulatory changes

· Manage multiple, deadline-oriented tasks in a fast-pace environment

· Respond to employee questions regarding their communications

· Assist with CRD filings

· Draft Compliance Alerts, Compliance Manuals and Supervisory Manuals

· Assist with the preparation of routine presentations to large and small groups on compliance issues

· Review firm-wide technology projects to determine compliance implications

· Review employee communications to ensure compliance with appropriate rules, regulations and firm policies

REQUIREMENTS:

· BA/BS Degree required

· Series 7 and 24 preferred

· Basic understanding of the rules and regulations relevant to the e-communications, information barriers, advertising, information security, licensing and registration

· The ability to learn and adapt in a dynamic environment

· Excellent verbal and written communication skills

· Two plus years of regulatory and/or broker/dealer experience preferred

· Proficient with Microsoft Word, Excel and Access