Compliance Manager

Key Responsibilities:

- Supervising and assisting with broker-dealer and investment adviser examinations and testing, as assigned, focusing on branch office inspections per FINRA Rule 3110

- Researching and responding to compliance questions from staff and clients

- Supervising a team of examiners

- Reviewing peer work deliverables and projects

- Completing direct report assessments on at least a semi-annual basis

- Conveying examination and testing results to clients and peers in a professional, sensitive, and clear manner

- Updating exam template worksheets and reports

- Assisting the department with improving examination programs to develop and enhance the examination process

- Assisting with coordinating exam schedules for clients

- Staying abreast of FINRA/SEC rules and guidance changes

- Conducting oneself in a professional manner

- Reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies

- Performing other tasks and projects, as assigned

Qualifications (Personal, Educational, Experience):

- Bachelor's Degree or equivalent work experience

- Minimum 4 years of related experience conducting examinations for a broker-dealer, registered investment advisor or regulator and a demonstrated knowledge of the financial industry

- Proven knowledge of FINRA, SEC, MSRB and state regulations

- Previous licensing (i.e., Series 7, 24) preferred, but not required

- Excellent oral and written communication skills

- Detail-oriented and multi-tasking capability

- Ability to lead and supervise a team

- Independent Self-Starter - the ability to organize workload and meet deadlines

- Service orientation with proven ability to provide superior client service

- Understanding of and demonstrated ability in use of web-based technology applications; willingness to provide input in enhancements and new solutions

- Ability to work both independently and as part of a team

- Proven success in organizing priorities while maintaining highest level service possible to clients, and managing projects and goals within deadlines and a strong attention to detail

- Prior experience in identifying products and services that could add value to client relationships