CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
The Compliance Advisory function within the Wealth and Investment Management Compliance department works with senior management and all branch offices to provide guidance and interpretation of rules and regulations. Compliance Advisory is responsible for: (i) conducting independent surveillance; (ii) performing internal reviews/investigations arising from sales practice issues, client allegations, regulatory inquiries, and internal audit concerns; (iii) providing compliance/risk-based input on new hire candidates; (iv) overseeing the disciplinary process related to policy breaches; (v) cross-border travel compliance; (vi) managing the client complaints process; and (vii) reviewing/approving marketing material.
This role, reporting into the Head of Compliance Advisory, will be responsible for managing the customer complaints program from a Compliance perspective and will include providing guidance and advice to branch management, logging and tracking complaints, coordinating investigations, compiling and presenting MI to senior management, conducting training, submitting regulatory filings, responding to regulatory inquiries and requests, and recordkeeping.
Main duties and responsibilities
· Manage all broker-dealer and investment advisory client complaints: evaluate merits of individual complaints; perform research/investigations with respect to client claims; interview registered representatives; coordinate with branch management and regulatory bodies (SEC, FINRA, etc.) on acknowledging, updating and closing matters; review and/or draft Firm responses to clients/regulators; draft Form U4/U5 disclosure language; submit 4530 disclosure filings to FINRA
· Compile and present MI related to customer complaints on a weekly basis, often times to senior management
· Support and assist in developing surveillance oversight program, as needed, including reviewing trade exception reports
· Advise branch and senior management on compliance and regulatory concerns with respect to sales practice issues
· Liaise with Legal department on potential litigation-related client disputes
· Assist in performing in-depth internal reviews and investigations related to potential policy and regulatory breaches, which may include the review of emails and analysis of account activity
· Attend to regulatory requests through the collection and production of responsive information/data
· Contribute to training development, as needed, including drafting presentations and conducting training sessions
· Oversee recordkeeping requirements
· Work closely with Change Management partners on ongoing project to obtain, develop and implement a matter management system for the customer complaints program
· Manage and complete ad-hoc projects, as needed
· 4-year college degree
· 5+ years of total work experience
· 3+ years Microsoft Office (Word, Excel, PowerPoint)
· 2-3 years of experience in the financial services industry, regulatory agency or a law firm
· Excellent presentation and writing skills
· Exceptional organizational skills and attention to detail
· Strong interpersonal and communication skills
· Ability to prioritize multiple responsibilities in a fast-paced environment
· Team player with the ability to manage interactions and relationships at all levels of the organization, including senior management
Internal Number: 5497293
About The Forum Group
eFinancialCareers is a career site specializing in financial services.