A boutique broker dealer located in Greenwich, CT looking to bring on board a “Compliance Officer” to join their team. The role is currently full time in office.
Responsibilities:
Ensure adherence to all applicable regulatory requirements, including SRO examinations, audits, filings, and surveillance.
Serve as liaison with regulatory bodies and facilitate regulatory inquiries audits.
Supervise the implementation of compliance policies, procedures, and internal controls across business lines.
Ensure effective implementation of AML policies and procedures.
AML surveillance, identify potential suspicious activities, and file Suspicious Activity Reports (SARs) as necessary.
Conduct AML training for employees and maintain up-to-date knowledge on evolving AML regulations.
Provide strategic advice to senior management on legal, regulatory, and compliance risks across all business operations, particularly in sales and trading.
Design and implement corrective and preventative actions in response to compliance issues and regulatory breaches.
Facilitate supervisory controls, including monitoring personal account dealing, outside business activities, political contributions, and trade surveillance.
Conduct regular reviews and audits of the firm's offices (OSJs and branches), identifying areas for improvement and implementing corrective actions where necessary.
Develop, implement, and maintain written supervisory procedures (WSPs) that govern the firm’s broker-dealer activities.
Ensure all communication with the public, including electronic communication, advertising, and research, is in compliance with applicable regulatory guidelines.
Maintain and update the firm’s compliance manuals, policies, and procedures to ensure they remain current and compliant with evolving regulations.
Facilitate continuing education programs.
Collaborate with other departments to support regulatory filings, compliance reporting, and employee compliance training programs.
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