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Compliance Manager, Securities Compliance - SEC / FINRA - BFSI at IA and FL

Company: Tephra Inc.
Location: Saint Petersburg
Posted on: March 27, 2020

Job Description:

The key responsibilities of this role include, but are not limited to Serve as the primary Liaison within the TPA for the Broker Dealer s legal and compliance teams. Lead the TPA staff through the training, examination and registration processes. Provide day to day oversight, mentoring, and development of FINRA registered staff and supervising principles. As a Subject Matter Expert (SME) partner with the broker dealer compliance teams in monitoring, reviewing, and enforcing policies and procedures to comply with federal and state laws and regulations of the SEC and FINRA. Manage and execute requests from the broker dealer resulting from a regulatory exam or inquiry. Facilitate the review and distribution of Written Supervisory Procedures, training and other guidance provided to registered representatives within the TPA. Oversee and Coordinate branch office inspections and other compliance audits involving the TPA s locations or employees. Qualifications Skills or Experience Needed Participate in projects as a subject matter expert for Compliance Executive level experience in developing correspondence and e-communication review programs as well as performing such monitoring. Proven ability to multi-task operate efficiently in high volume entrepreneurial environment Proven ability to collaborate and interact with multiple business structures and the temperament and skill to manage different types of personalities. Proficiently self-direct and manage competing priorities, workload and deadlines. Teamwork, excellent written and oral communication and analytical skills are a must. Will report to and work closely with the company's Compliance Officer as to compliance issues, problems, and sales practices. Has a professional demeanor via telephone and email. Advanced capability to handle day to day problem resolution and escalation of items to senior management. Knowledge of securities and insurance products. Occasional travel required. Candidate should have a Bachelor s Degree, must hold FINRA Series 6 or 7 and a 26 or 24 licenses. 7-10 years of business experience in financial services serving in Compliance and regulatory role for a broker dealer, Insurer or Fund complex, with a minimum of three years in a supervisory role. Successful candidate will be self-motivated, able to work independently, and have proven ability to drive results through effective collaboration across multiple areas. Candidate must have broad working knowledge of regulatory landscape for broker dealers, registered investment advisors, and have wide range of experience with investment products and the financial services industry. 1) Years of experience required for position 13 + years busienss experience with 3 in a supervisory role. 2) Location for the position Preferred to be Cedar Rapids, IA but will consider St. Petersburg, FL

Keywords: Tephra Inc., St. Petersburg , Compliance Manager, Securities Compliance - SEC / FINRA - BFSI at IA and FL, Executive , Saint Petersburg, Florida

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