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Compliance Officer

Compliance Officer

Madison-DavisCT
21 days ago
Job type
  • Full-time
Job description

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.