1+ months

Compliance Group Manager (Broker/Dealer)

BNY Mellon
New York, NY 10007

Manages regional/jurisdictional team of professional staff responsible for overseeing and managing the moderate to complex administrative, operational, and financial affairs of the broker-dealers compliance department. Responsible for the development, implementation, management, and oversight of the compliance strategy covering all business units within the broker-dealer. Provide guidance, support, and direction to business partners, senior management, and compliance team in the development of infrastructure and control requirements. Advise on strategy changes to further improve the region's/jurisdiction's ability to remain in compliance with or become compliant with applicable laws, policies and regulations. Guides the teams analysis of existing and proposed legislation, regulatory announcements, and industry practices within the region/jurisdiction in order to identify opportunities for alignment with the global compliance strategy and areas where region-specific strategies are needed.

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  • Strong knowledge of the broker-dealer business from a product, corporate governance, compliance, risk and administrative perspective, Working knowledge of FINRA and SEC rules and regulations (NFA is a plus), as well as state regulatory framework.
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  • Take ownership of all ongoing compliance review processes and requirements related to assigned areas of coverage.Coverage areas include customer complaints, licensing & registration, policies and procedures, gifts and entertainment, communications, testing/branch inspections, and others as assigned.
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  • Interpret rules/laws and partner with the Legal team to analyze changes to regulatory requirements, proactively handle regulatory developments.
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  • Conduct the annual compliance meeting covering: recent industry events, new regulations, procedures, investment products, lines of business, complaints and arbitrations, etc.
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  • Lead discussions regarding the review of the current compliance program framework and operations.

Qualifications

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  • Bachelor s degree or the equivalent combination of education and experience is required. MBA or professional certification preferred.
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  • Minimum of 7-10 years of experience as a compliance professional at a FINRA-registered broker-dealer, or regulator (diversity of experience strongly preferred)
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  • Ability to manage a team of compliance professionals
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  • Experience with rules and regulations applicable to broker-dealers
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  • Strong understanding of SEC and FINRA regulations relating to broker-dealers, with high focus on registrations and non-cash compensation.
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  • Comfort with ambiguitycapable of solving complex problems independently in a fast-paced environment and adapting along the way
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  • Demonstrated success as a values-based leader who can build and maintain a culture of empowerment, ownership, and accountability
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  • Ability to initiate and drive projects to completion with minimal guidance
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  • Strong computer and research skills
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  • Ability to influence executive-level management
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  • Ability to multi-task, organize and prioritize projects
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  • Familiarity with a wide range of investment products and instruments (e.g. mutual funds, ETFs, private funds, bonds and equities)
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  • Proficiency in understanding and applying regulatory trends
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  • Strong communication (writing and verbal) and presentation skills
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  • Ability to think analytically and solve problems
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  • Series 7, 24 or 14

Preferred Qualifications

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  • FINRA marketing material review experience
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  • Experience with banking regulations, specifically Bank Collective Funds

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.

Our ambition is to build the best global team one that is representative and inclusive of the diverse talent, clients and communities we work with and serve and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

Primary Location: United States-New York-New York
Internal Jobcode: 85167
Job: Risk
Organization: Compliance-HR06015
Requisition Number: 2105770
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Categories

Posted: 2021-04-02 Expires: 2021-06-02

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Compliance Group Manager (Broker/Dealer)

BNY Mellon
New York, NY 10007

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