New job Compliance and Administrative Branch Manager – High-Net-Worth Compliance, Greenwich, CT

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Compliance and Administrative Branch Manager – High-Net-Worth Compliance, Greenwich, CT Gerald Elliott posted a job: Compliance and Administrative Branch Manager – High-Net-Worth Compliance, Greenwich, CT "The high-net-worth client division of a top-tier investment bank seeks a Compliance and Administrative Manager for their Greenwich, CT offices. The Role of the Compliance and Administrative Manager is to implement and ensure that internal and external policies and procedures are followed at the branch level. Additionally, other Branch administrative functions may be assigned to the Admin Manager. He/she will be responsible for the branch’s overall Sales Practice effort, including but not limited to: • Ensuring adherence to internal policies and regulatory requirements • Accountable to understand and fulfill all responsibilities but not limited to responsibilities identified on Administrative matrix • Develop, implement and modify as needed Sales Practice programs for entire branch office • Communicate compliance, sales practice and legal issues of importance to senior management • Coordinate and manage audits conducted by regulatory agencies and internal audit department • Conduct yearly book reviews with brokers in conjunction with the Regional Manager • Facilitate the execution of certain transactions that require Compliance and/or legal intervention • Investigate and resolve customer complaints involving sales practice, operational and administrative issues • Inform & educate Sales Force, senior management, operational and support staff of continually changing industry rules and regulations • Execute all Sales Practice functions in conjunction with the Regional Manager • Assist in achieving the Firm’s goal to generate revenues while balancing the department’s obligation of adhering to internal and external rules and regulations • Approve and review discretionary and advisory accounts which may carry additional risks to the Firm • Included but not limited to: review of daily trade blotters and Alerts, conducting book reviews, approving new accounts, enforcing documentation policy, suitability review, review of advisory accounts, review of employee trading, and review of errors • Manage support staff Person Requirements Basic Qualifications: Bachelors degree Broker/dealer and/or branch brokerage sales experience with an expertise in compliance and/or business control Series 7, 63 or 66 , 8 or 9/10 licenses To apply please submit your resume to Info@compliancesearch.com"

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