A well-regarded Retail Broker-Dealer in the NY/NJ area seeks an Associate Director for OSJ Sales Supervision
Work across multiple departments including Sales, Risk, Compliance, Audit, and Regulatory Response.
Perfom daily trade reviews and monitor trade blotters.
Partner with Financial Advisors and Registered Reps on supervisory procedures, risk mitigation, regulatory controls
Provide OSJ Supervision for the Home Office and Local Branches..
Monitor daily trades including stocks, bonds and options. Provide assessment and risk mitigation
Review and process daily exception reports and trade blotters. Identify problem areas, analyze risks and suggest appropriate solutions
Review and approve new account paperwork, margin and option agreements
Oversee compliance support for BD and its associates, working closely with Chief Compliance Officer
Provide guidance and input on key regulatory policies and procedures
Test effectiveness of policies and procedures on a periodic basis
Gather and analyze information and documents needed for operational and regulatory filings
Prepare Annual Certification of Compliance and Supervisory Processes
Facilitate annual compliance reviews, updates to policies and procedures and resolution of complex questions/issues
Communicate with FINRA regulators directly and participate in FINRA audits
Provide guidance on questions of SEC and state registration
Interview clients to confirm risk tolerance and investment objectives
Train registered representatives on applying due diligence procedures and regulatory mandates
Conduct internal audits. Author procedures for internal auditing purposes
Manage outside branches
FINRA Series 7 & 24 Licenses Required.
Please email resumes to James DeFranco – James@ComplianceSearch.com
or call direct at 212-997-3163.