Compliance Manager, Divisional Officer - MMC Inc. - Hoboken NJ

Responsible for continuously examining the firm's policies, procedures and practices for compliance with all applicable laws and regulations. Contributes to the design, establishment, implementation, and revision of compliance systems, polices and procedures. Stays current with all applicable changes to securities rules and regulations. Assists with the designing and the performing of compliance audits, informing management of the results, and assisting in implementing any changes. Assists with examinations and audits by internal and external parties.



Frequently communicates with management, direct reports and manager. Provides assistance to the assigned division(s) by attending meetings, holding ad hoc discussions, and attending business functions. Leads compliance training sessions and special projects, and performs other duties, as assigned. Coachs and mentors direct reports and others on the compliance team.
REQUIREMENTS
Must have compliance experience with defined contribution plans and a minimum of three years of general securities compliance experience. Experience with variable insurance products (variable annuities and variable universal life) is preferred.



Must have three to five years of general securities compliance experience. Experience with variable annuity and life insurance products is required. Must have experience with reviewing mutual fund and insurance carrier selling agreements.



Has experience with reviewing and editing of registered representative and corporate generated advertising and sales literature to insure compliance with the requirements of the NASD and SEC, and the firm's policies and procedures.



Possesses the Series 6 or 7 and the Series 26 or 24 securities licenses). Professional experience with the SEC, NYSE and/or NASD is a plus. Incumbent is an attorney and is a member in good standing of a state bar.



Position requires moderate travel on an as needed basis (estimated to be no more than 40% of the time). Will be required to travel to Woodland Hills, California to provide compliance oversight on an as needed basis (at least monthly).



Possesses excellent communication and organizational skills and produces documents through clear and concise writing and analytical thinking. Meets all agreed upon deadlines with adequate attention to detail. Works well under pressure.