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BCI - Brokerage Consultants Inc

Compliance Manager

BCI - Brokerage Consultants Inc, Charlotte, North Carolina, United States, 28245


Compliance Manager

| Charlotte, NC

Institutional fixed income trading firm seeks Compliance Manager to ensure compliance with FINRA/SEC regulations, assist with broker-dealer program, and provide guidance to personnel firm-wide. Work environment is Monday-Thursday in-office, Fridays work-from-home.

Responsibilities:

Maintain in-depth knowledge of business/activities to ensure adequate compliance oversight/resources as business needs evolve over time; advise on emerging compliance issues

Maintain policies/procedures in Written Supervisory Procedures and anti-money laundering program

Keep up-to-date and advise businesses on SEC/FINRA/MSRB/SRO laws, rules and regulations, with particular focus on broker-dealer rules and applicable regulations

Assist with regulatory exams/inquiries; conduct firm/individual registration maintenance on FINRA Gateway

Identify/respond to ongoing regulatory changes; ensure implementation of required policies/procedures and appropriate operational/compliance oversight

Review personal accounts for adherence to stated personal trading policy

Assist with annual compliance program review/testing; perform periodic tests to monitor efficiency of compliance program; assist in preparation of annual compliance reports/ad hoc reviews

Liaise with various groups/individuals at all levels of firm as needed

Requirements:

Bachelor's Degree and 5+ years' institutional broker-dealer experience

Series 7, 63 and 24 (will have to obtain if not currently held)

Knowledge of fixed income / regulatory requirements

Strong interpersonal skills; excellent oral/written communication; detail-oriented with strong decision-making/analytical skills; ability to work in fast-paced environment