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Carroll Enterprises logo
Company Name:
Carroll Enterprises
Approximate Salary:
Not Specified
Location:
Worcester, MA
Country:
United States
Industry:
Position type:
Experience level:
Education level:

Compliance Manager















Responsibilities
Identify, review, and address compliance issues to consistently ensure that the OSJ and sales offices remain compliant with broker-dealer, regulatory and OSJ requirementsExpertly process and complete suitability reviews of direct-way, brokerage and advisory new business. Conduct thorough review of each piece of paperwork to check for any missing information and seeks to actively correct missing informationConsistently and clearly communicate with registered representatives and sales offices to make sure they are aware of compliance requirements, and to make remaining compliance as efficient and effective as possibleOversee all associated persons compliance with broker-dealer and industry requirements with regard to issues such as, but not limited to: annual compliance meetings firm element continuing education, regulatory element continuing education, outside business activities, social media, email addresses, correspondence, advertising and sales literature, blotters and logs, licenses and state registrations, branch personnel files, broker-dealer consulting programs, client files, advisory client files, cash/noncash compensation, checks and securitiesImmediately address any possible client complaints with OSJ and or broker-dealer compliance departmentStay aware of and communicate to registered representatives and sales offices current industry and broker-dealer compliance practices and policy changesProvide training and supervision to all staff on systems, firm guidelines and forms and documentation requirements in regard to compliance issues to ensure policies and procedures are consistently followedIdentify suspicious patterns of practice and conduct investigations based on findings deemed to be in violation of the firm s current guidelines. Take appropriate corrective action as needed in collaboration with OSJ and broker-dealer s compliance departmentEffectively interface with broker-dealer and security industry regulators on audits and regulatory inquiries. Ensure all audits are conducted and documented according to broker-dealer and regulatory requirements, including, whenever warranted, completed and documented follow-upPeriodic visits to our brokers in Massachusetts, Vermont and ConnecticutSpecial projects and all other duties as assigned
Required Skills and Experience
BA/BS degree required, MBA preferred7 or more years experience in financial regulatory compliance leadershipProven experience in financial regulatory compliance leadership including comprehensive work history in satisfying regulators (SEC, FINRA, etc.)Ability to manage relationships and interact respectfully and professionally with internal and external customers during conflict or stressful situationsRequirements analysis and developing standardsStrong analytical skills and dealing with complexityLegal complianceFinancial planning and strategyAdherence to strict ethical and client confidentiality policiesMaintain compliance in accordance with firm policies and proceduresContribute to a respectful office culture and safe working environmentProficient to advanced Microsoft Office skills (Word, Excel, PowerPoint, etc.)Systems experience including Retail, Albridge, Money Guide Pro, NetX360/Pershing and SunGard Trade Review Tool preferred
Registrations:

Active FINRA registration including Series 7, 24, 63 and 65/66 are required

Life and Health Insurance Licenses (preferred)

PM17

Registered Representatives offering securities through Cetera Advisor Networks LLC, member FINRA/SIPC. Cetera is under separate ownership from any other named entity. Branch: 38 Austin Street, Worcester, MA 01609











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Associated topics: attorney, attorney corporate, company, corporate, courtroom, legal, legal affairs, legal department, llp, market

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