AVP Compliance

Summary of Job Responsibilities:

To direct, supervise, and manage various day-to-day aspects of the audit and surveillance divisions of the Compliance Department and to work closely with senior management in ensuring that firm policies and procedures are being followed within these areas.

Essential Duties and Responsibilities:

To directly supervise and manage the day-to-day activities associated with the audit and surveillance divisions of the Compliance department.

To ensure that company standards are being met within these areas of responsibility through internal audit programs, including the audit team that is currently remote out of Atlanta, GA.

To train, supervise and manage the employees in these areas of responsibility.

To interface professionally with other departments as it relates to areas of responsibility.

To perform analysis for audit purposes on the compliance procedures on a regular basis and provide input on the company’s WSP.

To offer input on the design, facilitate the implementation, and perform periodic reviews and update to ensure that the company’s surveillance and systems are efficient and effective.

To interface with our clearing firms and Operations department, including but not limited to implementing new programs and technologies or services that have become available, maintaining knowledge and training on technologies or services that are currently available, and incorporating the applicable systems into the Compliance surveillance systems.

To interface with the NASD, SEC, and various other regulatory agencies as necessary as it relates to the issues that may arise surrounding the areas of responsibility, including but not limited to assistance with audits, regulatory inquiries and RIA issues.

To learn and keep informed about all areas of our industry, in particular as it relates specifically to areas of responsibility.

To interact with our representatives daily and assist them with any issues surrounding areas of responsibility.

To handle all issues those require escalation within areas of responsibility.

To participate in the design, implementation, and periodic updates of department policies, procedures, Compliance systems and special projects to detect and deter violations of internal policies and the rules of applicable regulatory and self-regulatory agencies.

To participate in business planning and budgeting related to areas of responsibilitiesy.
To train, supervise and manage junior employees in the Compliance department.

Non-Essential Duties and Responsibilities:

Be available at the direction of executive management for other duties and responsibilities.

Supervisory Responsibilities:

Manage and supervise the day-to-day activities within the areas of responsibility by possessing the ability to provide strong leadership, in-depth training, and human relations and business coaching to current supervisors and employees.

Handle any rep or staff issues that require escalation to a supervisor.

Ensure that applicable company and departmental policies and procedures related to areas of responsibility are being followed.

Set reasonable standards for accomplishing departmental tasks and goals.

Administer performance reviews as necessary.

Administer verbal, written and termination notices to employees as necessary.

Participate in the interview process and selection of new employees as necessary.
REQUIREMENTS
Qualifications:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.


This is a mid to senior level position and a strong related prior work experience in the compliance environment is required. The ideal candidate must have superior organizational and time management skills, excellent communication skills, and supervisory and management experience. He/she must be able to work effectively in an independent environment and be able to adapt to a constantly changing work atmosphere.


Education/Experience:

4-year degree preferred, or 2 years of college with emphasis on management and organization skills. 5-10 years of industry experience in Compliance, Risk Management experience a plus


Language Ability:

Ability to read, analyze and interpret general business periodicals, professional journals, technical procedures, or governmental regulations. Ability to write reports and business correspondence and procedures manual. Ability to effectively present information and respond to questions from groups of managers, clients, customers, employees of the organization or the general public.


Reasoning Ability:

Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists. Ability to interpret a variety of instructions furnished in written, oral and diagram or schedule form.


Computer Skills:

Database software, E-mail, Internet software, order processing, spreadsheets, word-processing. Typing skills in the 40 wpm range.


Certificates and Licenses:

Series 7 and 24 required. Series 65, 4 and 53 preferred.


Work Environment:

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.


While performing the duties of this job the employee is exposed to a quiet noise level.

Physical Demands:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.


While performing the duties of this job the employee is regularly required to sit, use hands to finger, handle or feel, and talk and hear. The employee is occasionally required to stand, walk, reach with hands and arms and stoop, kneel, crouch or crawl. The employee is required to lift up to 25 pounds. The vision requirements include close vision, distance vision, peripheral vision, depth perception and ability to adjust focus.