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.