Vice President, Head of Compliance Control Room
Wedbush Securities
- Los Angeles, CA
- $145,000-165,000 per year
- Permanent
- Full-time
- 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; perform and/or oversee 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 relevant risk indicators to 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
- Bachelor's Degree from an accredited university
- 10+ 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 pertaining to research, investment banking and mitigation of conflicts
- 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
- Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
- Self-starter with the ability to work independently with minimal supervision as well as within a fast-paced team environment
- Comprehensive medical, dental, and vision coverage with multiple health plan options
- Health Savings Account (HSA) with company-sponsored contributions
- Flexible Spending Accounts (FSA) traditional and dependent care
- Pre-Tax Commuter Benefits
- 401(k) Plan: competitive discretionary company matching and profit-sharing contributions
- Tuition reimbursement ($5,250 max per year)
- Paid Sick Time, Holidays, Volunteer Time Off
- Paid Leave: Parental Bonding, Jury Duty, Military, Disability, etc.
- FINRA and Professional License Sponsorship
- Charitable Donation Matching Contributions
- Travel & Employee Assistance and Employee Discount Programs
- Discretionary compensation based on the colleague's and the firm's performance