New job Branch Administrative and Compliance Manager Washington, DC

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Branch Administrative and Compliance Manager Washington, DC Gerald Elliott posted a job: Branch Administrative and Compliance Manager Washington, DC "The high-net-worth brokerage division of a major investment bank seeks a Branch Administrative Manager for their Washington, DC office. The Regional Administrative Manager (RAM) will be responsible for implementing and ensuring that internal and external policies and procedures are followed by the branch office and its brokers and employees. The RAM will be responsible for branch’s overall Sales Practice effort, including but not limited to: • Ensuring adherence to internal policies and regulatory requirements • 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 • 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 Basic Qualifications: • Bachelors degree • 7+ years 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 required • 3+ years experience identifying risk associated with trade activity, client suitability, excessive trading, general sales practice issues To apply please submit your resume to Info@compliancesearch.com"

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