Senior Compliance Manager (HYBRID)

The Senior Compliance Manager will join a dedicated team of experienced compliance professionals and play a pivotal role in identifying potential sales practice issues and trends in insurance, brokerage and advisory transactions.

Requirements

• Monitor compliance with Firm policies and procedures in accordance with securities industry rules and regulations.
• Detect and resolve potential suitability and sales practice issues through available reports and systems.
• Advise and train branch management on compliance policies and procedures.
• Identify potential issues with patterns of trading activity.
• Stay informed of product features, new technologies and applications and their impact on firm policy.
• Collaborate with project leads on the team’s technology initiatives to advance our internal surveillance systems and processes.

Benefits

• Medical
• Dental
• Vision
• 401(k) plan
• Paid time off