Manager - Central Compliance Operations
Salary $130000 - $150000 per year
Consultant Jessica Taylor
Date posted December 9, 20187 Times Square New York NY 10036 Robert Walters United States of America
Compliance Operations team seeking a manager to provide subject matter expertise onpersonal compliance matters, legal entity and individual licensing, regulatory interactions and management of regulatory relationships, and regulatory change. Compliance Operations is a team within Central Compliance that is responsible for oversight and administration of licensing requirements for our regulated entities and personal compliance policies.
- Responsible for the day-to-day oversight and management of a small team focused on licensing and registrations for our regulated entities.
- Maintain a strong working knowledge of the regulatory requirements for FINRA and NFA licensing and registrations
- Ensure any developments/changes are of regulatory requirements are incorporated into our procedures and practices
- Ensure regulated entity reporting and disclosures are made accurately and in a timely manner
- Provide administration of personal compliance policies and associated reporting, as well as assist with general compliance projects that arise from the Risk Management Group Compliance oversight activities.
- Bachelor’s degree (or equivalent) in a relevant field
- Minimum of 5 years’ experience in broker dealer and/or swap dealer compliance.
- Strong working knowledge of FINRA and NFA registration requirements.