Director, Policies and Procedures, Compliance

Responsibilities:



Coordinate the establishment, review and maintenance of firm policies and procedures [banking and brokerage];

Coordinate with business lines and Compliance Directors to develop business-specific Written Supervisory Procedures (b
Oversee and manage processes within Compliance Department including technology initiatives;

Maintain Compliance Department responsibility matrix;

Coordinate Annual Compliance Meeting/CE Training with Compliance Directors, Corporate Training and external vendors;

Oversee distribution of Annual Compliance Disclosures and follow up with associates;</SPA!
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REQUIREMENTS




Experience, Requirements:



10+ years experience in financial services (broker-dealer) and/or SRO or SEC;

Strong academics;

Firm grasp of securities laws, rules and regulations;

Excellent organizational, writing and communications skills;