Broker/Dealer Compliance Associate

Siebert Williams Shank & Co., LLC (“SWS” or the “Firm”) (a FINRA-registered broker/dealer) is seeking to add a motivated compliance professional to assist the Compliance team led by the Chief Compliance Officer. The successful candidate will support compliance efforts including but not limited to training, branch office exams, FINRA licensing and registrations, anti-money laundering supervision.

SWS is a full-service investment banking and financial services company dual-headquartered in New York and Oakland. SWS is a perennial leader as a co-manager of investment-grade corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned and successful share repurchase agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB).

Essential Duties and Responsibilities

• Update the Firm's Written Supervisory Procedures (WSPs) based on new rules and regulations and/or process enhancements
• Prepare drafts of FINRA Form U4, U5, BR, and BD and various MSRB filings
• Review and perform conflict checks on employee certifications, personal account disclosure and pre-clearance forms, reported outside business activities and private investments
• Review and present for CCO approval political contribution requests, sponsorship requests, bond ballot contributions, and quarterly MSRB G-37 filing
• Onboard new employees
• Support AML reviews / KYC processes on customers
• Conduct needs analysis & deliver Firm Element CE & ACM
• Assist the COO in responding to regulatory exams, investigations and inquiries conducted by FINRA, SEC, GSE and state regulators
• Perform ad hoc projects

Qualifications

• Bachelor's Degree
• SIE, Series 7 licenses required
• At least 3 years of compliance experience (broker-dealer preferred)
• Experience with fixed income products (notably municipal, corporate, government, and agency bonds) and equity securities
• Solid knowledge of the financial industry and understanding of FINRA, MSRB and SEC rules
• Proficiency in Microsoft Office applications (especially Excel)
• Excellent analytical, reasoning, problem-solving, verbal, written and interpersonal communication skills
• Ability to multi-task, meet deadlines and handle multiple projects/priorities
• Ability to work well independently as well as collaboratively.
• Strong desire to learn and deliver results

We are Committed to Fair Pay. At SWS, we are committed to fair, transparent pay and strive to provide competitive, market-informed compensation. The target total fixed compensation range for this position is $90,000 - $125,000. Compensation for the successful candidate will be determined by the candidate’s particular combination of knowledge, skills, competencies and experience. This position is also eligible for a discretionary bonus.

SWS empowers talented and highly motivated individuals to thrive independently and collectively. We offer a competitive compensation package, an inclusive working environment and exceptional employee benefits. Our benefit program is designed to provide employees and their dependents with support in maintaining health and financial protection.

Siebert Williams Shank & Co., LLC is an Equal Opportunity Employer: EOE/M/F/V/D committed to a diverse workforce. We welcome and value the people and concepts that move our firm, our industry, and our communities forward. All qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age or any other characteristic protected by law.