Compliance Officer, Finance & Banking

Compliance Officer - Operations & Regulatory Reporting Oversight

Description:

The desired candidate has mid to senior level experience providing compliance advisory support for Operations and Regulatory Reporting Groups.

Role Overview

The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams to ensure regulatory adherence, timely and accurate reporting and robust client asset protection. This role drives governance across key operational processes, monitors regulatory changes and supports control frameworks aligned with SEC, FINRA and other applicable regulations

* Provide compliance advice, oversight on operational and finance rules and regulations for securities and swaps to Front Office, Middle and Back office. (e.g. Turnaround Rule, Margin, Settlements, Inter-Company bookings, clearing, corporate actions,

* Provide compliance advise on regulations governing financial and operational stability, including SEC Rule 15c3-1 (Net Capital), 15c3-3 (Customer Protection), SIPIC, and other applicable regulations

* Oversee compliance with operational controls related to clearing, settlements, custody and safeguarding of client assets

* Coordinate with Markets Advisory Compliance and Markets Surveillance on operational issues that require/involve product subject matter expertise.

* Monitor and surveil regulatory processes to ensure adherence to internal policies and external requirements

* Review/Manage Restricted Stock and Sales off a Registration Statement Program

* Actively monitor regulatory developments and trends, attend industry calls such as SIFMA & FIF and take appropriate action to ensure compliance with new or amended regulations.

* Provide compliance guidance and create oversight program for reg reporting, work with supervision, advisory compliance, testing, front office and IT to bridge gaps or provide expertise

* Ensure all regulatory reporting is considered as part of all NBCs

* Interact with technology support and risk management to ensure operational and reporting practices remain compliant with Firm policies and industry regulation

* Drafting new policies and recommending changes to current written procedures as needed

* Assisting with responses to regulatory inquiries, issue tracking, risk assessments and testing.

Qualifications/

Skills Required:

* Minimum 8
-10 years financial operations compliance experience.

* Series 7 & 99 preferred

* Knowledge of broker-dealer regulatory compliance including FINRA, SEC, and Exchange specific requirements

* Strong analytical and problem-solving skills with an ability to interpret regulations and translate requirements into operational procedures

* Team player - one who is able to prioritize in a fast moving, high pressure, constantly changing environment

* Ability to build, develop and maintain solid working relationships throughout various businesses and corporate departments

* Comfortable with different technology applications

* Strong written and verbal communications skills

Primary Location Full Time Salary Range of $190,000-$215,000.