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Participates in the development and maintenance of comprehensive written supervisory procedures and the related supervisory control review.
Works closely with various departments within the Firm to provide analysis and resolution on compliance related matters; identifies and communicates regulatory change.
Assists in conducting on-going surveillance, reviews and testing, ensures maintenance of proper documentation of all reviews conducted by the compliance department (outside business activities, private securities transactions, employee accounts, social media)
Researches and responds to regulatory inquiries, as necessary (SEC, FINRA, CBOE)
Assists with the coordination of examinations with various government and regulatory organizations
Conducts mandated regulatory reviews
Maintains employee and Firm registrations
Approves new accounts
Assists in internal examinations, including follow-up actions
Participates in development and delivery of employee training, including continuing education
Assists in tracking/documenting compliance projects, registration requirements and compliance affirmations
REQUIRED KNOWLEDGE AND EXPERIENCE
Bachelor's degree from an accredited college/university preferably in accounting, finance, economics or related discipline
JD or MBA preferred
Minimum of 7-10 years of experience in equity / options compliance
Broad knowledge of Broker Dealer operations
Series 7, required/or equivalent experience
Series 4 or 24 licenses preferred
Strong organizational and effective communication skills.
Must be highly flexible, multi-task oriented and capable of changing directions based on business demands.
Team-oriented with strong interpersonal skills, ability to manage conflict and deal with pressure in a positive manner.
Ability to work both independently and in a team environment