Vice President, Broker-Dealer Private Side Compliance Advisory - Confidential : Job Details

Vice President, Broker-Dealer Private Side Compliance Advisory

About the Company

Internationally recognized banking group

IndustryFinancial Services

TypeSubsidiary of a Public Company

Founded1996

Employees10,001+

Categories

• Financial Services
• Consulting & Professional Services
• Banking & Mortgages
• Banking
• Finance

Specialties

• advisory
• capital markets & investment banking
• corporate & institutional client banking
• derivatives
• equity research
• sales & trading
• fx / treasury services
• global trade finance
• lease finance
• leveraged finance
• mergers & acquisitions
• project finance
• and real estate finance

Business Classifications

• B2B
• B2C
• Enterprise

About the Role

The Company is seeking a Vice President for Broker-Dealer Private Side Compliance Advisory. The successful candidate will be a key member of the Compliance group, serving as a regulatory advisory function and overseeing the management of the broker dealer's compliance risk. This role involves providing regulatory and compliance advice, identifying training needs, preparing and delivering training, and conducting monitoring of relevant business units. The Vice President will also be responsible for advising on the establishment of a supervisory system, interacting with regulators, and ensuring that business units maintain policies and procedures in line with the current compliance framework.Applicants must have a solid foundation in US securities laws and regulations, as well as broker dealer operations, with 7-10 years' of regulatory and/or advisory compliance experience in a broker dealer setting. The role requires the ability to manage multiple assignments, build consensus among stakeholders, and communicate technical information in an easily understandable manner. Attention to detail, organizational skills, and the discipline to follow up on issues are essential. A BA/BS is required, and holding Series 7, 24, or 79 is a plus. The ideal candidate will be a developing subject matter expert, known for their reliability and knowledge, and will have a clear understanding of the firm's different businesses and related economics.

Hiring Manager TitleHead of Private Side Compliance Advisory for SMBC Nikko Securities Inc.

Travel PercentLess than 10%

Functions

• Finance