Overview
Contracts Manager #57315 Jobs in Portland, OR at Volunteers of America Oregon
Broker Dealer Chief Compliance Officer
Base + year-end bonus/ Dental, Vision, Medical , Paid Time Off , 401K
Business Unit: Compliance, Risk and Internal Audit
Job Description:
The Chief Compliance Officer (CCO) will assume primary responsibility for assuring broker-dealer compliance with SEC, FINRA, and Federal and state rules/regulations as well as all other federal statutes and trends. In conjunction with the Firm’s existing compliance and legal team of outsourced compliance consultants and legal counsel, the COO will supervise the compliance of the firm’s sales and trading activities, investment banking and equity research/chaperone activities.
The CCO will evaluate business risk in accordance with policies, goals, and objectives established by the organization. The CCO is also accountable for the design, update and execution of the compliance program for the broker/dealer and assures that legal and regulatory compliance is maintained at the highest possible level.
Bonus will be based on the candidate’s experience, skills, qualifications, commercial considerations, and other job-related factors permitted by law. Our total rewards approach includes an annual performance bonus (subject to eligibility criteria) in addition to participation in our competitive benefits programs including healthcare, retirement, vacation, and other employee benefits
Your General Responsibilities
help design, update and implement the broker dealer compliance program, help educate and train firm associated persons, and work in tandem with senior business management to foster compliance with regulatory requirements;
Develop and maintain all relevant Policies and Procedures based upon regulatory requirements, industry practices and established internal controls, including client onboarding, AML, KYC, insider trading, and personal account trading (PTA) approval and review, outside business activities (OBA) disclosures; Supervise the Firm’s compliance with regulatory requirements on cybersecurity, social media and communications with public
Follow the compliance calendar to ensure the annual compliance CEO attestation, associated persons’ CE are completed on time. Supervise and manage the periodic routine regulatory audits in their entirety, either requested by FINRA or SEC.
Perform all daily, weekly, monthly and quarterly compliance reviews (including securities transaction reviews);
Provide advice and training to firm’s management and employees regarding applicable securities rules, regulations and firm policies.
Your Firm specific responsibilities:
Monitor the segregation of different investment banking, sales and trading (including proprietary trading), equity research/chaperone functions (Chinese wall) and implement the wall-crossing procedures as necessary; maintain and update the watch list and restricted securities list;
Sales and trading: Oversee trade related compliance activities, including the reporting for equity securities, ensure the best execution, solicitation if any well documented, raise compliance concerns to the executive principals of trading departments; red flag on any suspicious activities, generate and document exception reports;
Investment banking: Review, and monitor the compliance throughout the public offering and financial advisory process, pitching, deal selection, client adoption, background check, communication with public, affiliation and conflict of interests disclosure, due diligence work completeness and documentation; compliance in the marketing and sale process of new issue securities; public offering Reg M filings and update; and supervise and provide correspondences to the regulatory inquiries on a timely manner.
Equity research/Chaperone: monitor the conflict of interest if any is property disclosed;
Accounts management: Implement and maintain the mandated Anti-Money Laundering program covering the Broker/Dealer activities; Provide Compliance approval of all new accounts regarding “Know Your Customer” and the firm’s Customer Identification Procedures.
Your attributes:
Demonstrate excellent communication skills, both oral and written. Should have the ability and experience to draft clear and professional correspondence, policies and procedures and other documents. Must be able to correspond with all regulators and auditors.
Responding to regulatory inquiries, examinations, internal audits, and other reviews on a timely manner;
Reviewing and contributing to due diligence on products and program;
Partnering with the legal and regulatory team to proactively analyze and manage changes to regulatory requirements.
Effectively consulting with financial advisory practices at all levels of the organization
Work as liaison to firm’s management and outside legal counsel to ensure appropriate support if needed for any and all litigation, arbitration, and all other regulatory matters involving the firm’s Broker Dealer activities.
Demonstrate ability to effectively analyze situations, absorb large amounts of information and apply past experience and judgment to resolve issues in a timely manner
Develop implement and monitor supervisory policies and procedures relating to sales, trading, operations, custody and placement of applicable securities
Results-oriented with the ability to effectively resolve/manage problems and competing priorities
Your Expertise
Bachelor’s Degree or Higher Required, J.D. a plus
Current Series 7 and 24 qualifications required (clean U-4)
Minimum of 7-10 years’ experience in securities compliance and/or legal experience in securities compliance, emphasis on sales and sales trading (institutional, retail), investment banking and research
Strong attention to detail and extreme organization is vital for this position
Fluent with all current FINRA issues and concerns
Working knowledge of FINRA, SEC, and State Securities rules and regulations, especially Rule 10b-5, FINRA Rule 5130/5131, SEC Reg M, SEC Regulation SHO, SEC Reg 144/144A, 10b-5
Location
Anywhere in the US. Ability to travel if required to the main office in New York. EST time zone is preferred.
Job Types: Full-time, Part-time, Contract
Pay: From $120,000.00 per year
Expected hours: 40 per week
Benefits:
401(k)
Dental insurance
Health insurance
Paid time off
Vision insurance
Work Location: Hybrid remote in New York, NY 10017
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Title: Contracts Manager #57315
Company: Volunteers of America Oregon
Location: Portland, OR
