Director, Compliance Officer (Wealth)

Compliance Officer - FINRA

This job oversees broader planning for the risk and compliance support for the Wealth business including the organization’s broker dealer and investment adviser businesses, to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. As a recognized subject matter expert in broker dealer and investment advisory compliance, this job develops and implements new processes, standards or operational plans that improve the identification, investigation, and reporting of compliance risks.

Key Responsibilities and Duties

• Oversees business unit compliance programs as well as the development, implementation and revision of policies and procedures as needed to improve the communication, monitoring, enforcement and/or general operation of business unit risk and compliance programs.

• Advises business unit(s) and/or management on risk and compliance programs, policies and procedures.

• Oversees compliance risk assessments to identify compliance issues, concerns and deficiencies.

• Advises on complex compliance investigations in response to complaints and/or potential violations of rules, regulations, policies and procedures.

• Guides the development and implementation of corrective action plans, ensures the correction of compliance deficiencies and provides guidance to business unit(s) and/or management team on how to avoid or handle similar situations in the future.

• Develops and implements preventative measures and compliance processes, identifies opportunities to improve the communication, monitoring, and/or enforcement of business unit compliance programs, and recommends relevant revisions or policies and procedures to improve the general operation of business unit risk and compliance programs to management.

• Communicates results of compliance and ethics initiatives of the business unit to management, including key takeaways and opportunities for improvement.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 5+ Years Required; 7+ Years Preferred

FINRA Registrations

• SRC Indicator: Series 7; Series 24

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
9IC