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Subject: Product Compliance Officer, VP

Alice Morgan posted a job: Product Compliance Officer, VP

"Well regarded investment bank seeks a Product Compliance Office, VP level. Working closely with the Compliance team, the ideal candidate will work personally with management, sales, trading, operations, technology and other areas to help ensure high net worth and advisory businesses complies with Firm policies and procedures as well as the requirements of our regulatory authorities, including but not limited to the SEC, FINRA, MSRB and state securities regulators. Responsibilities: * Provide compliance and regulatory advice regarding the design, development of a broad range of products sold by retail financial advisors, including: fixed income products, structured products, derivatives, mutual funds, closed-end funds, exchange traded funds, equity and debt offerings. * Advise on product specific regulatory requirement, reasonable basis suitability, customer suitability requirements, supervisory controls procedures, communication with clients, training, and compliance and control testing. * Represent Compliance Department on new product launches. * Work closely with the compliance monitoring & testing team to ensure effectiveness of controls. Qualifications: * BA/BS degree is required. * 5 + years of compliance experience. * 3 + years of working experience in regulatory. * 2 + years of experience in developing appropriate risk-based solutions. Preferred Requirements: * Excellent understanding of regulatory control framework. * Detailed product knowledge regarding: fixed income products and applicable reporting requirements, structured products, derivatives, ETFs and alternative investments, among others. * Experienced in broker/dealer compliance a plus. * Excellent verbal, written and communication skills. * Ability to influence positive outcomes across a wide variety of business areas. * Experience of developing policy, assessing risks, implementing procedures, training, monitoring and review. * Ability to quickly understand and interact with a variety of other product areas. To apply please submit your resume to info@compliancesearch.com"

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