We are currently partnered with a growing Financial Services firm looking to add a Senior Manager to collaborate with with Director of Compliance in driving the day-to-day operations of our Compliance program. This pivotal role is dedicated to meeting compliance deadlines and handling diverse assignments.
Senior Compliance Manager Responsibilities:
- Collaborate with the Director of Compliance on broker-dealer operations and personnel matters
- Manage engagements with external compliance vendors
- Oversee the annual supervisory controls testing audit process
- Monitor branch office inspections, contribute to remediation plans with the Director of Compliance
- Assist in drafting changes to supervisory procedures and compliance manuals
- Review and escalate employee-related compliance requests as needed
Senior Compliance Manager Qualifications:
- Solid knowledge of Broker-Dealer compliance, regulations, and requirements
- Collaborative mindset, working effectively with compliance staff and various business units
- Demonstrated ability to exercise judgment and make sound decisions
- Excellent organizational skills, adept at prioritizing tasks in a dynamic environment
- Clear and effective communication skills
- Leadership qualities and a strong character
- FINRA SIE, Series 6 & 26
