New job Division Compliance Director – Broker Dealer New York / New Jersey

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Division Compliance Director – Broker Dealer New York / New Jersey Gerald Elliott posted a job: Division Compliance Director – Broker Dealer New York / New Jersey "Top-tier financial services firm seeks a Division Compliance Director for their Broker-Dealer, Investment Advisory and Insurance Businesses. The role oversees compliance within the broker-dealer, investment adviser, and insurance affiliates. This role is responsible for managing the compliance programs for the broker-dealer, investment adviser and insurance businesses. Each of these businesses is relatively small and together, the responsibilities comprise a full time role. The candidate will be expected to provide advice and support to the businesses, including compliance support relating to policies, procedures, annual compliance plan, annual risk assessments, and ensures that the businesses have and sustain strong compliance control environments commensurate with their place within a large, complex Bank Holding Company. The role reports to the Head of Business Unit and Regional Compliance, who oversees the business line compliance officers. The successful candidate will be able to build strong compliance control environments for each business, manage periodic regulatory examinations, work closely with each business and senior business leaders, and work with compliance officers and leadership to build and execute against the compliance plan for the businesses. Qualifications: * 5+ years of relevant financial services experience; * Licenses enabling the candidate to act as Chief Compliance Officer of a U.S. broker dealer and a U.S. registered investment adviser, specifically Series 7, 24, 79, 63 and 65 required; * Must be flexible and able to manage a diverse set of responsibilities, and incorporate the compliance activities of the businesses into the broader global Corporate Compliance function; * Experience working in a registered broker-dealer and investment adviser is important; expertise in all three areas is desired but not required. * Strong knowledge of both securities/broker-dealer and investment adviser compliance, including FINRA rules and regulations, compliance requirements, and knowledge of the Investment Advisers Act and related regulations; * Experience in insurance business compliance and/or knowledge of US insurance businesses and obligatons is desired but not required, if the candidate demonstrates strong qualifications in both broker-dealer and investment adviser disciplines; * Must be organized, have strong written and oral communication skills, be flexible and adaptable in order to manage three different areas of compliance simultaneously; * Experience within a regulated financial institution required. To apply please submit your resume to Info@compliancesearch.com"

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