New job VP, Distribution Compliance, Broker-Dealer New York or Denver

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Group: Job Openings, Job Leads and Job Connections! Subject: VP, Distribution Compliance, Broker-Dealer New York or Denver Oliver Paige posted a job: VP, Distribution Compliance, Broker-Dealer New York or Denver "Top-tier financial services firm is seeking a Vice President of Sales Compliance and Broker Dealer Oversight (SC& BDO) who will be responsible for ensuring that the Distribution organization maintains adequate market, regulatory and operational risk policies and procedures, thus ensuring that the Distribution organization is in full compliance with FINRA, SEC, compliance/regulatory, best practice internal policies/procedures and the ongoing Broker Dealer Due Diligence/Oversight. Principal Responsibilities: The VP of SC & BDO will serve as an advisor to Senior Distribution Management in the areas of sales/marketing compliance and existing BD selling firms as well as make recommendations to reduce risk exposure in the areas of distribution processes, potential conflicts of interest, sales reporting, tracking and compensation systems. The VP will be proactive in audit checks and balances with regards to increasing and retaining assets and ensuring all governing and corporate/regulatory policies are being upheld to the letter of the law/policy. Manage and mentor Supervising Compliance Principle and Senior Analyst of Broker Dealer Due Diligence. Partner with senior sales management to analyze current processes and procedures, establish variance reports and propose changes to improve the balance between asset gathering/growth and compliance/regulatory demands. Partner with the Compliance Department to develop and deliver annual compliance training and Firm Element Continuing Education. Establish policies, procedures and guidelines on sales/marketing compliance and broker dealer due diligence. Prepare and disseminate reports and analytics around current policy effectiveness, gap analysis and all other requisite. Work with CTG to develop compliance system enhancements, such as reporting tools and web based tools and programs. Serve as Distribution’s liaison for Legal/Compliance, Finance and Internal Audit regarding compliance, regulatory and legal research and discovery matters. Represent OFDI and at various industry related conferences Oversee and participate in various internal committees relating to sales compliance and Broker Dealer Due Diligence. Distribution point person for Siebel, SAMI and future systems related to compliance oversight. Qualifications: Five to seven years of experience working in compliance in the asset management field. Strong knowledge of Sales Compliance (FINRA, SEC) Regulations. Strong knowledge of broker seller agreements Proven leadership track record. Ability to communicate in clear, unequivocal language. Strong analytical and problem solving skills. Ability to work in a stressful environment. Undergraduate degree in Finance, Economics or other finance-related field. To apply please submit your resume to Info@compliancesearch.com"

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