Broker-Dealer Compliance Manager

The successful candidate will be responsible for overseeing the firm s compliance functions and ensuring that all business operations adhere to regulatory standards and firm policies. This role requires a deep understanding of brokerdealer compliance regulations excellent leadership skills and the ability to effectively train and guide team members.

Key Responsibilities:

• Compliance Email Supervision: Monitor and review all email communications to ensure compliance with regulatory requirements and firm policies.
  
• New Business Review Supervision: Oversee the review process for new variable annuity direct mutual fund and all other BrokerDealer business ensuring they meet all compliance and regulatory standards before implementation.
  
• Existing Business Review Supervision: Conduct regular reviews of existing variable annuity direct mutual fund and all other BrokerDealer business ensure ongoing compliance and identify areas for improvement.
  
• Compliance: Develop implement and maintain comprehensive compliance programs and policies. Respond to regulatory inquiries and conduct internal audits.
  
• Training: Develop and deliver training programs to educate staff on compliance policies regulatory changes and ethical conduct.
  

Requirements

• Required licensing: Series 9/10 or 24 (Required Series 24 Preferred.)
  
• Proven experience in a supervisory role within a brokerdealer environment.
  
• Extensive knowledge of brokerdealer regulations and compliance requirements.
  
• Strong leadership and organizational skills with the ability to manage multiple tasks simultaneously.
  
• Excellent communication skills both verbal and written.
  
• Ability to work effectively with all levels of staff management and regulators.
  
• Detailoriented with a proactive approach to problemsolving.
  

Benefits