Overview

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.

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