Manager Compliance Broker-Dealer Job New York New York USA,Finance & Banking

MANAGER COMPLIANCE INVESTMENT ADVISER WHAT IS THE OPPORTUNITY?

The Compliance Manager, Broker-Dealer is primarily responsible for: managing the workflow of the Wealth Management Broker-Dealer Entities' compliance staff, ensuring that policies and procedures are reviewed and approved appropriately and timely; staff training; answering staff and submitted questions on licensing/registration; supervision; ; ensuring that email escalations are investigated appropriately; providing guidance and assistance with registrations and filings; provide guidance on on broker-dealer activities, and other programs as required by FINRA and MSRB.

The Compliance Manager will report directly to the Wealth Management Broker/Dealer Entities' CCO and ultimately to the Wealth Management CCO.

WHAT WILL YOU DO?

Assist the Wealth Management Broker/Dealer Entities’ CCO in conducting one or more of the following responsibilities.
Analyze marketing material for compliance with regulatory standards including, SEC, FINRA and MSRB.
Serve as a resource to internal partners with inquiries regarding business communications.
Monitor the existing Broker/Dealer compliance programs.
Monitor, review and challenge risks assessments and testing of compliance programs.
Analyze current Compliance functions and suggest enhancements and standardization, where appropriate.
Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements.
Perform all necessary functions and management reporting for FINRA Rules 3130.
Manage the broker/dealers’ email review/escalation process and lead internal investigations resulting from such reviews.
Train staff on regulatory updates and industry best practices.
Analyze marketing material for compliance with regulatory standards including, SEC, FINRA and MSRB.
Assist with regulatory exams, audits, production of responses to regulatory inquiries; and support of the transfer agent operations.

WHAT DO YOU NEED TO SUCCEED?

Required Qualifications *

Bachelor's Degree or equivalent
Minimum 10 years of relevant work experience with a financial institution such as a broker/dealer
Minimum 7 years compliance experience with a financial institution such as a broker/dealer

Additional Qualifications

Demonstrated desire to learn about regulatory compliance and/or the finance industry
Strong abilities in analytical thinking, problem solving, research, and time management
Must have excellent verbal and written communication and people skills
Must have a Series 7 license in good standing
Must be willing to obtain a Series 24 license within 6 months of hire
Proficiency with MyCompliance Office is helpful
Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs.
For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser.
For Wealth Management Compliance roles, experience working within a Compliance Investment Management role.

WHAT'S IN IT FOR YOU? Compensation

Starting base salary: $120,000 - $200,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.

Benefits and Perks

At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:

Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
Generous 401(k) company matching contribution
Career Development through Tuition Reimbursement and other internal upskilling and training resources

Valued Time Away benefits including vacation, sick and volunteer…