Title: Compliance Manager Location: Florida-Lake Mary The ideal candidate will be responsible for working as part of a team that is responsible for administering a Compliance Monitoring Program. This program encompasses developing Compliance Monitoring Plans for various business units across the firm that test business unit compliance with applicable regulations. This will also involve performing the verification and testing process itself which involves doing extensive analysis on various regulatory requirements and comparing business unit policies and procedures for conformance with the regulatory requirements. The candidate will need to work extensively with the business units to understand their processes and business practices and actively participate on business unit meetings. Testing of the business unit policies and procedures will also include sample reviews of activity to ensure that the business units are following their policies and procedures. The outcome of the testing and verification needs to be prepared in formal reports to share with the Chief Compliance Officer, Director of Regulatory Compliance, Senior Management of the Business Units and Senior Management as appropriate. BS/BA. 7 to 10 years previous Compliance Experience. Detailed knowledge of broker dealer regulations a must, knowledge of retirement products, registered investment advisor and foreign regulations (i.e. Canadian) a plus. Excellent verbal and written communication skills. Series 7, 24, 65 preferred. Prior compliance experience as a regulator or experience in audit or compliance at a medium or large securities firm desired (clearing firm preferred). Will entertain comparable experience in control / risk management areas or line function experience (i.e. Operations, Finance, etc).
