What are the responsibilities and job description for the Deputy Head of Compliance Advice – Broker Dealer position at Larson Maddox?
Our client, a prestigious and global Institutional Financial Services group, is looking to hire a Senior Compliance Manager to provide specialist product specific Compliance advice and guidance to senior leaders and key members of the firm’s Capital Markets and Broker Dealer business. The incumbent will be the most senior individual contributor on the team and will deputize for the Head of team as required.
The firm have one of the world’s most reputable Securities businesses, boasting a highly successful and diverse global client base.
The incumbent will be based in Manhattan and report directly into the Head of Compliance Advice
The Deputy Head of Compliance Advice will be responsible for…
- Providing specialist product specific Compliance Advice to key stakeholders and senior leaders in the Broker Dealer business focusing among others, sales & trading activity.
- Reviewing Exceptions reports ensuring Compliance
- Providing specialist Compliance Advice on New Business initiatives
- Updating relevant Policies & Procedures by tracking key Regulatory Developments
The Deputy Head of Compliance Advice should have the following qualifications…
- Minimum of 7 years of relevant Compliance experience gained in a Broker dealer with subject matter expertise across one of Fixed Income or Equities
- Excellent working knowledge of the regulations governing the Institutional Broker Dealer space
- Strong problem experience
- Exceptional interpersonal, communication and influencing skills
