Compliance Officer

How does the role impact the organization?

Reporting to the Senior Manager, Compliance, you will be primarily responsible for trade approvals, monthly account reviews and social media management. You will also be responsible for contacting sales staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations. In addition, you will play an active role in staffing the department’s help desk as a compliance resource person.

What will your role be responsible for?

• Monitor and approve trades in restricted securities and/or accounts;
• Respond to requests from branches on various compliance issues;
• Act as the primary contact person for questions pertaining to New Accounts and the restriction of document deficient accounts;
• Approve trade corrections and various trade review escalations;
• Conduct email and social media supervision;
• Provide...