Atlas Search · 1 day ago
Vice President Broker Dealer Compliance
New York, United States
Full-time
Hybrid
Senior Level
$140K/yr - $200K/yrAtlas Search is seeking a Vice President for their Broker Dealer Compliance team, which provides centralized compliance support across the Advisory Function. The role involves managing regulatory engagements, coordinating with internal functions, and producing management reporting for senior leadership, while ensuring compliance with broker-dealer regulations.
FinanceRecruitingStaffing Agency
Hiring Manager
Michael Opitz
Responsibilities
Provide compliance advice and credible challenge to businesses and support functions regarding a broad range of compliance and regulatory issues
Escalate potential conduct incidents, events, and material non-compliance matters
Assist the Regulatory Governance Team Lead in coordinating the intake and responses to regulatory inquiries and managing regulatory exams
Support the preparation and submission of various regulatory applications and filings
Support remediation efforts stemming from regulatory enforcement actions
Assist in process to determine whether to self-report material non-compliance issues to applicable regulators
Support the production of management reporting for business leadership, CPAD, Risk and other governance forums
Support the preparation of materials for governance committees and working groups within the Firm and industry
Coordinate with Compliance and support function staff across the AD to provide subject expertise and to find efficiencies
Coordinate compliance policy & procedure reviews, updates and approvals and facilitate Group Company adoption of AD Compliance Policies
Assist in design and delivery of compliance training materials
Track and support the remediation of Advisory-owned Issues and Corrective Action plans
Assist in drafting and disseminating Compliance alerts, reminders and other communications
Support production of Annual Compliance Report and related senior officer certifications
Participate in evaluation and implementation of Compliance technology
Help to identify gaps or areas that can be improved or made more efficient, triggered by:
Changes in laws, rules and regulations
Changes in AD- or the firms -level policies
New business initiatives
Regulatory findings or recommendations
Audit findings or recommendations
M&T findings or recommendations; and/or
Observations by Compliance officer or business staff member
Coordinate with relevant stakeholders to support the implementation of enhancements to the Firm’s overall compliance program
Assess applicability, coordinate impact assessment and support implementation of changes in response to new regulations and regulatory developments through the Regulatory Change Management process
Provide regulatory advice and oversight of compliance with expertise in US securities, laws and regulations
Proactively engage with Compliance, Legal and other control function colleagues to enhance the overall Compliance program
Support the coordination and drafting of management related reports on a timely basis
Escalate regulatory concerns and other significant matters to their manager
Communicate policies, procedures and new regulatory requirements simply and efficiently to affected business and infrastructure units in order to minimize bureaucracy and process burden
Assist in the design, implementation and maintenance of Compliance policies and procedures to ensure consistency in achieving industry best practices and in minimizing regulatory risk
Seek operational efficiencies and automation of processes to reduce risk of manual processes
Qualification
Required
Experience in compliance and regulatory issues related to broker-dealer operations
Strong understanding of US securities laws and regulations
Ability to provide compliance advice and credible challenge to businesses and support functions
Experience in managing regulatory exams and responding to regulatory inquiries
Proven ability to produce management reporting for senior leadership and governance forums
Experience in coordinating compliance policy and procedure reviews and updates
Ability to assist in the design and delivery of compliance training materials
Strong communication skills to convey policies and procedures to affected business units
Experience in identifying gaps and areas for improvement in compliance processes
Ability to engage proactively with Compliance, Legal, and other control function colleagues
Preferred
Experience in drafting and disseminating compliance alerts and communications
Familiarity with compliance technology and its implementation
Experience in supporting remediation efforts stemming from regulatory enforcement actions
Ability to assess applicability and coordinate impact assessments for new regulations
Experience in producing Annual Compliance Reports and related senior officer certifications
Company
Atlas Search
Atlas Search is an executive recruiting firm dedicated to placing accounting, finance, middle office, information tech, human resources.
Founded in 2015
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Pablo Ismael
Partner, Chief Operating Officer
Peter Riccio
Founding Partner
Recent News
thefastmode.com
2023-12-08
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