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Compliance Manager- Broker Dealer

Recruiter: Brown Brothers Harriman
Location: New York , United States
Posted on: Mar 04, 2011
Closing date: Apr 04, 2011

The Compliance Manager will lead compliance efforts which include compliance monitoring program (CMP or testing), issues tracking , quality assurance and compliance outreach for the capital markets lines of business, including the FINRA broker-dealer. This manager may develop and coach a small staff to help implement outreach/continuing education and strategy efforts and compliance testing to ensure that business is being conducted in conformity with all applicable laws, regulations and internal procedures as well as keeps abreast of new products, technologies, and their applications and implications for the assigned area.


• Assists in developing compliance policy and provides support to the assigned business units with regard to business developments
• Monitors and ensures compliance with applicable US regulations including FINRA and SEC rules and ensures consistent implementation for compliance and risk programs
• Identifies and leads initiative to strengthen risk management practices within assigned business lines
• Enhances engagement of compliance by the business
• Provides management reporting to senior Compliance management regarding various aspects of the CMP
• Maintains and develops a risk based regulatory testing and monitoring process including compliance procedures
• Analyzes staff workflow to maximize operational efficiency and compares the department’s procedures with current regulatory requirements to identify potential gaps
• Collaborates with senior management to develop, recommend, and/or execute business plans for area of responsibility
• Responsible for providing direction and training to staff
• Handles personnel-related issues within parameters of the firm and compliance department policy

Desired Skills & Experience

• BS/BA or equivalent work experience
• Law degree/MBA is a plus
• 7-10 years of related compliance experience
• Audit, compliance examination and issue tracking experience required
• Proficiency in written and oral communication skills
• Knowledge of the securities industry and current regulatory requirements applicable to broker-dealers including FINRA and SEC rules
• Demonstrated ability to manage a staff
• Ability to work well under stress
• Series 7 and 24 – preferred. If not, willingness to take and pass exams within 6 months of employment***

Recruiter Contact Details
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