| Location: |
IA-Other Small community located over 100 miles from any sizeable city.
Lower Midwest (IL, IN, IA, KS, KY, MO, NE & OH) |
| Salary Range: |
90,000 - 110,000 |
| Total Compensation: |
90,000 - 110,000 |
| Job Description: |
Our client is a very successful and rapidly growing independent broker-dealer. We have been engaged by this firm to source and recruit talented professionals for the position of AVP-Compliance. This is a significant opportunity to make a key contribution to the continued growth and success of one of the most highly regarded independent broker-dealer firms in the financial services industry. This position will be based in our client’s corporate home office in Iowa, and will require relocation. Relocation assistance will be provided.Summary of Job Responsibilities: Reporting to the Chief Compliance Officer, the AVP Compliance will direct, supervise and manage various day-to-day aspects of the Compliance Department. This person will also be responsible for developing staff, mentoring and training, policies and procedures for both regulatory and company manuals, and working closely with the Chief Compliance Officer to ensure that firm policies and procedures are being followed within these areasEssential Duties and Responsibilities: § Act as the Broker Dealer’s AML Officer insuring compliance with all aspects of the Patriot Act, and Anti Money Laundering policies and procedures are being followed both in compliance and operations § Directly supervise and manage the day-to-day activities associated within audit areas. § Manage the external and internal audit functions to ensure that company standards are being met within these areas through internal audit programs § Perform analysis for audit purposes on compliance procedures on a regular basis and provide input on the company’s WSP’s, Training and Operational manuals, Educational Meetings and content for FE, CE, AML, and ACM both at a regional and national conference level § Offer input on the design, facilitate the implementation and perform period review and update to ensure that the company’s surveillance and systems are efficient and effective § Interface with our clearing firms and Operations department, including but not limited to implementing new programs and technologies or services that are currently available, and incorporating the applicable systems into the Compliance surveillance systems § Ensure that company standards are being met within Compliance including the annual CE, ACM, AML and other programs necessary to insure proper compliance with regulatory bodies and company policies § Interface with FINRA, SEC and various other regulatory agencies as necessary as it relates to issues that may arise surrounding audits, regulatory inquiries, and customer complaints § Interface with FINRA, SEC and various other regulatory agencies as necessary as it relates to facilitation and participation in various regular in-house FINRA or SEC Compliance Audits performed by various regulatory agencies in a timely, professional and courteous manner § Work closely with the Company’s E&O carrier to resolve customer issues, Representative inquiries, coverage, policies and procedures, and participate in negotiations of insurance coverage and Fidelity Bond § Oversight of regulatory filings including but not limited to 3070’s, form B/D, U4/U5, cash non cash § Contract review including but not limited to Representative Contracts, Credit Unions, Banks, and Financial Institutions, and outside vendors that may be used in Compliance § Effective and consistent monitoring of discretionary trading by Advisory Representatives § Research new rules and regulations, coordinate implementation of appropriate procedures § Review for accurate information and updates with Advisor Representatives registration § Timely review of ADV amendments and other regulatory filings § Communicate any new laws and regulations to Advisory Representatives and department associates § Work directly with both Chief of Compliance and Outside Counsel on Legal issues and items including customer complaints, advisory issues with both Advisor Representatives Registered Representatives, and Regulators § Develop, review and approve communications and reports in a timely manner § Develop manage and mentor the growth of staff and department § Communicate new laws and Advisors, Representatives and Home Office StaffSupervisory Responsibilities: § Supervise the day-to-day activities of staff in Compliance Department § Provide day-to-day senior leadership and management to the entire organization and specifically to the areas of responsibility § Provide strong leadership, in-depth training and human relations and business coaching to current department Direct Reports and employees within the Compliance Department § Motivate and lead a high performance team § Attract, recruit and retain required members of the team not currently in place. Participate in the interview process and selection of new employees as necessary. Proactively forecast staffing needs |
| Education and Certifications/Licenses: |
Bachelors, None, FINRA Registered Rep - Series 7 - Stock Broker|FINRA Registered Principal - Series 4|FINRA Registered Principal - Series 24|FINRA Registered Principal - Series 53|NASAA State Registration / Investment Advisor - Series 65|NASAA State Registration / Investment Advisor - Series 66 |
| Mandatory Minimum Qualifications: |
Key Qualifications: · Strong related prior work experience in the compliance environment is required. · Superior organizational and time management skills. · Excellent communication skills, and supervisory and management experience. · Ability to work effectively in an independent environment and be able to adapt to a constantly changing work atmosphere. · 4-year degree preferred, or 2 years of college with emphasis on management and organization skills or 5-10 years of industry experience in Compliance or Risk Management experience, preferred. Certificates and Licenses: · Series 4, 7, 24, 53, 65 or 66 required |
| Preferred Qualifications: |
|
| Benefits: |
yes
|
| Overnight Travel: |
None Listed |
| Relocation Assistance: |
Yes |
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