What are the responsibilities and job description for the Senior Compliance Officer Branch Inspections Team position at Madison-Davis?
Broker dealer located in Midtown Manhattan looking to bring on board a “Senior Compliance Officer Branch Inspections Team” to join their team. This role is currently in a hybrid schedule (2 days in office / week).
Responsibilities :
- Conduct Branch Office Inspections both remotely and in person in accordance with FINRA RULE 3110
- Execute branch inspections and independently perform all key steps from scoping to final report issuance.
- Assist with Risk Assessment process for each registered and non-registered location in accordance with FINRA requirements and Firm expectations.
- Prepare workpapers for each review in accordance with firm standards.
- Prepare comprehensive reports for management that highlights the overall results and findings of each Branch Inspection.
- Build relationships with Key Stakeholders and communicate deficiencies of the findings in advance of report issuance.
- Oversee remediation of issues identified in the inspection process and track issues to closure.
- Assist the Compliance Testing Team, as needed, on monitoring and testing engagements.
- Work closely with other functions and the business areas to support a culture of compliance across the Firm.
- Participate in special projects as they arise to enhance compliance functions.
