Managing Director, Compliance - Employee Surveillance and Disclosure Group
We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.
As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.
The Corporate Compliance Department coordinates the Company's enterprise-wide approach to compliance risk management and oversight. The Corporate Compliance Department is responsible for creating a framework for identifying, assessing, controlling measuring, monitoring and reporting compliance risks and for providing compliance training throughout the Company. The Corporate Compliance Department plays a key role in overseeing and supporting the implementation of the compliance risk management program, and in controlling compliance risks that transcend business lines, legal entities, and jurisdictions of operation.
What you’ll do:
The Managing Director of the Compliance Department Employee Surveillance and Disclosure Group will lead and motivate a team of compliance professionals and have responsibility for successfully managing, developing and evolving the firm’s broad-based:
- Employee account surveillance program; and
- Employee disclosure and reporting program (e.g. securities accounts, outside business activities, private securities transactions, etc.).
- Leading, managing and developing compliance team by establishing performance standards, reviewing performance and providing feedback. Inspiring and engaging team.
- Employing broad knowledge, understanding and awareness of compliance and regulations to inform, develop and evolve programs to meet FINRA, SEC and other regulatory requirements and expectations.
- Evaluating and analyzing trading activity and surveillance results for possible violation of law, regulation, firm policies or for other irregularities.
- Maintaining and developing strong working relationships with critical control partners (line of business compliance, legal, etc.) and otherinternal and external groups.
- Developing and maintaining program policies and procedures and relevant sections of firm’s Compliance Manuals.
- Developing and delivering executive level program reporting.
What you have:
- At least 7+ years of experience managing at least three or more direct reports for an Employee Surveillance program .
- Experience in establishing, maintaining and enforcing written policies and procedures related to surveillance and disclosures.
- Strong knowledge and understanding of compliance and regulatory requirements applicable to the brokerage/investment advisory and banking industries.
- Strong communication and writing, influencing, and relationship skills, including experience working with all levels of management.
- Time management, organization, project management and prioritization skills; ability to work under intensive deadlines.
- The ideal candidate must demonstrate the ability to operate in a fast-paced environment and have the ability to make decisions based on sound business judgment, with information at hand.
- FINRA Series 7 and 24 required.
- Bachelor's degree or equivalent work experience.
What you’ll get:
- Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
- Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
- Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
- Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
- Not just a job, but a career, with an opportunity to do the best work of your life