AVP, Compliance Control Room

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Private Client Services, Capital Markets, and Clearing & Execution divisions. Headquartered in Los Angeles, California, with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.

We are currently seeking an AVP, Compliance Control Room, who will oversee controls designed to mitigate conflicts of interest, protect confidential information, and preserve the integrity of the firm’s information barriers. This is a hybrid role that can be based in New York City.

Responsibilities include, but are not limited to:

• Analyze data and derive insights and risk indicators with the help of business intelligence tools
• Assist in implementing information barrier policies and procedures by maintaining the watch and restricted lists, deal lists and handling conflicts clearance
• Monitor employee personal trading and electronic communications and perform periodic compliance testing/surveillance
• Monitor employee gift & entertainment, political contributions, and outside business activities
• Communicate with Sales, Trading, Research, Investment Banking personnel regarding specific firm transactions and compliance related issues
• Participate in the drafting of compliance related policies and procedures, making recommendations to develop or enhance business unit procedures as they relate to Compliance Control Room (CCR)
• Act as the gatekeeper and chaperone with respect to permitted conversations between the restricted groups of employees and potential compliance issues arising out of monitored interactions
• Respond to compliance related questions from management and staff
• Assist in keeping the CCR current on relevant regulatory changes
• Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; performing and/or overseeing information for compliance reporting to management
• Develop, coordinate and deliver initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies
• Analyze and report of relevant risk indicators and assist in identifying and remediating emerging compliance risks
• Manage multiple, deadline-oriented tasks in a fast-paced environment
• Respond to regulatory inquiries, interacting with regulatory examiners and internal auditors, and provide advice and guidance to business partners
• Perform other duties as required and assigned

Keyword: Control room, CCR
Required Experience:

• Bachelor's Degree from an accredited university required
• Minimum 5 years experience at a registered broker-dealer, investment manager, or US bank
• Solid understanding of the nature of protection of information, in particular managing confidential and material non-public information
• Understanding of FINRA, SEC and other regulatory requirements
• Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
• Ability to manage controls to prevent and detect insider trading by employees
• Highly organized with the ability to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
• High levels of ethics, integrity and judgment
• Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization
• Extremely detail-oriented, strong analytical, problem-solving and critical-thinking skills
• Self-starter able to work independently with minimal supervision as well as within a fast-paced team environment

Benefits:

From: Wedbush Securities