Compliance Officer - Convergenz : Job Details

Job Description

• Collaborate with department leadership to prepare the Annual CEO Certification report as required by FINRA Rule 3130, along with other annual compliance requirements.
• Partner with the Risk and Controls team to conduct annual reviews of Compliance Operations controls, including testing to identify and resolve potential gaps.
• Act as an independent control function within the company's second line of defense, ensuring adherence to new or updated laws, rules, and regulations.
• Support the Designated Marketing Principal in managing the marketing approval process by reviewing various marketing materials for compliance with regulations, company policies, and procedures to mitigate risks.
• Assist in training initiatives related to marketing compliance requirements.
• Evaluate external regulatory developments and changes in laws and regulations that impact marketing activities.
• Draft and update written supervisory procedures for approval, release, and publication.
• Compile the annual compliance report, highlighting areas of strengths and weaknesses to guide resource allocation and planning decisions.
• Foster strong relationships with business units to promote a culture of compliance and support the distinction between the organization's three lines of business.
• Review and disseminate monthly or quarterly industry disciplinary actions relevant to the firm's practices to leadership.
• Provide ongoing regulatory and compliance guidance to business units and field personnel.
• Oversee and manage compliance reviews of electronic communications surveillance processes to ensure optimal platform usage.
• Develop and maintain compliance-related policies in the Compliance portal for annual employee and representative attestations.
• Work closely with leadership on the firm's Annual Compliance Training Requirements.
• Support HR and other business units in onboarding new hires, ensuring timely completion of questionnaires and attestations.
• Act as the point of contact for registered personnel disclosures, monitoring brokerage account activity, and addressing insider trading alerts.
• Investigate and draft responses to regulatory inquiries.
• Ensure compliance manuals, written supervisory procedures (WSPs), and related policies accurately reflect the firm's business practices.
• Collaborate with Compliance leadership to address compliance issues, create solutions, and close identified gaps.
• Conduct quality control reviews across functions, including Field Examination, Compliance Operations, and AML.
• Coordinate regulatory inquiries and assist in drafting responses to information requests.

Leadership Responsibilities:

• Coach and mentor team members under leadership guidance to foster team collaboration and effectiveness.

Required Skills and Qualifications:

• Minimum of 7 years of experience in legal, compliance, or related roles within the financial services industry.
• Bachelor's degree required (relevant industry experience may be considered in lieu of education).
• Strong knowledge of broker/dealer and investment advisory practices preferred.
• Series SIE, Series 7, and Series 24 licenses required.
• Self-motivated, organized, and adaptable in a fast-paced environment.
• Strong problem-solving skills and ability to make both independent and collaborative decisions.
• Excellent verbal and written communication skills.
• Deep understanding of regulatory rules and their application to the firm's business operations.
• Ability to interpret complex compliance matters and provide clear guidance.
• Proactive approach to staying informed about industry developments.

We are an Equal Opportunity Employer committed to a diverse and inclusive workplace. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, age, gender identity, national origin, disability, or veteran status. We value diverse perspectives and actively seek to create an inclusive environment that celebrates the unique qualities of all employees.