About this opportunity
Wedbush Securities lists this AVP, Compliance Control Room opportunity in new york, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Wedbush Securities is one of the largest securities firms andinvestment banks in the nation. We provide innovative financialsolutions through our Private Client Services, Capital Markets, andClearing & Execution divisions. Headquartered in Los Angeles,California, with over 100 offices and more than 80 correspondentoffices, our commitment to providing relentless, customized serviceis the foundation of our consistent growth.
We are currently seeking an AVP, Compliance Control Room, who willoversee controls designed to mitigate conflicts of interest, protectconfidential information, and preserve the integrity of the firm’sinformation barriers. This is a hybrid role thatcan be based in NewYork City.
Responsibilities include, but are not limited to:
Analyze data and derive insights and risk indicators with the helpof business intelligence tools
Assist in implementing information barrier policies and proceduresby maintaining the watch and restricted lists, deal lists andhandling conflicts clearance
Monitor employee personal trading and electronic communicationsand perform periodic compliance testing/surveillance
Monitor employee gift & entertainment, politicalcontributions, and outside business activities
Communicate with Sales, Trading, Research, Investment Bankingpersonnel regarding specific firm transactions and compliancerelated issues
Participate in the drafting of compliance related policies andprocedures, making recommendations to develop or enhance businessunit procedures as they relate to Compliance Control Room (CCR)
Act as the gatekeeper and chaperone with respect to permittedconversations between the restricted groups of employees andpotential compliance issues arising out of monitored interactions
Respond to compliance related questions from management and staff
Assist in keeping the CCR current on relevant regulatory changes
Develop and implement compliance related monitoring and compliancemetrics relevant to CCR functions; performing and/or overseeinginformation for compliance reporting to management
Develop, coordinate and deliver initial and ongoing training foret employees on compliance requirements of designated laws,regulations, and policies
Analyze and report of relevant risk indicators and assist inidentifying and remediating emerging compliance risks
Manage multiple, deadline-oriented tasks in a fast-paced environment
Respond to regulatory inquiries, interacting with regulatoryexaminers and internal auditors, and provide advice and guidance tobusiness partners
Perform other duties as required and assigned
Experience and Skills
Bachelor's Degree from an accredited university required
Minimum 5 years experience at a registered broker-dealer,investment manager, or US bank
Solid understanding of the nature of protection of information, inparticular managing confidential and material non-public information
Understanding of FINRA, SEC and other regulatory requirements
Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
Ability to manage controls to prevent and detect insider tradingby employees
Highly organized with the ability to multi-task and managemultiple projects and competing priorities without sacrificingaccuracy or efficiency
High levels of ethics, integrity and judgment
Excellent communication and presentation skills with the abilityto communicate effectively across various departments and levels ofthe organization
Extremely detail-oriented, strong analytical, problem-solving andcritical-thinking skills
Self-starter able to work independently with minimal supervisionas well as within a fast-paced team environment
What We Offer
Wedbush Securities (WS) aims to foster a culture of inclusion whereall Colleagues are valued for their unique contributions to the firmprovided equal opportunities to succeed.
The reasonable estimate of the compensation range for this role hasnot been adjusted for the applicable geographic location. Areasonable estimate of the current range is $48.00/hr to $57.00/hr.Colleagues may be eligible for additional, discretionary incentivecompensation based on the colleague's and the firm's performance.Decisions regarding compensation are determined on a case-by-casebasis and are dependent on a variety of factors including but notlimited to location; skill sets; experience and training; licensureand certifications; and other business and organizational needs.
Wedbush uses E-Verify, an Internet-based system, to confirm theeligibility of all newly hired employees to work in the UnitedStates.
This position is subject to various laws or regulations that imposerestrictions or prohibitions for employment with Wedbush due tocriminal history. Those laws or regulations include but are notlimited to, the following: Securities Exchange Act of 1934 (SEA)Rule 17a-3, et. seq., Financial Industry Regulatory Authority(FINRA) Rules 3110(e), Rule 4530(a), etc., and FINRA RegulatoryNotice 07-55.
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Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.