Assists in the management of the day-to-day compliance functions for the Firm. Under limited direction of the Chief Compliance Officer (CCO), manages, supports and provides compliance oversight and monitoring of the Firm's internal control, compliance, risk management and operational functions. Assists the CCO in managing business risks by establishing and conducting proactive surveillance, testing, and monitoring of compliance, risk management, investment and operationial-related matters. The primary focus of this position is to ensure compliance related investment and quality assurance processes are managed and regulated, and client risks are sufficiently mitigaged in a timely manner. Manages multiple deadlines, works with minimal supervision and is responsible for making a broad range of decisions, escalating to senior management when necessary. Works in an autonomous fashion with limited daily supervision.

What you will do:

• Identifies key risk factors, including researching and identifying regulatory requirements, documenting the control environment designed to comply with the stated requirements, assessing nature of risk factors, identifying gaps in the control processes and advising and, as applicable, instituting solutions or controls to mitigate risk.
• Tracks changes in SRO, federal and state rules and regulations, identifies related policies and procedures, and updates as needed; this includes revising or writing the policy, notifying the appropriate parties and providing any necessary training.
• Manages the retail communications review process including maintenance of the social media policy and training.
• Provides email review oversight, escalating to the manager when issues are discovered.
• Conducts field audits.
• Works with manager to conduct annual broker-dealer / investment adviser / mutual fund audits to meet regulatory requirements.
• Assists in the preparation and presentation of compliance training.
• Conducts monthly surveillance of sales transactions, reviewing accounts for various transaction violations and commission manipulation.
• Prepares exception reports on a regular basis. Works with areas to ensure appropriate documentation and necessity for exceptions.
• Conducts FinCEN/OFAC and other AML surveillance activities, to include by not limited to review, reporting, and filing of Suspicious Activity Reports.
• Supports the overall compliance needs of the Firm's Financial Representatives.
• Coordinates activities and communicates with other W&SFG Compliance groups as appropriate.
• Acts as a liaison between the department and the Firm's other subsidiaries and affiliates.
• Performs other duties as assigned.
• Complies with all policies and standards.

• Bachelor's Degree with commensurate experience within financial services. (Required)
• Advanced business, law or operations degree. (Preferred)
• Typically requires 4 to 6 years of relevant experience. (Required) 
• Proven experience conducting compliance assessments and writing policies and procedures. (Required) 
• Demonstrated experience coordinating multiple, complex projects/assignments simultaneously and completing assigned tasks accurately and on a timely basis. Must demonstrate strong attention to detail with excellent organization skills. Expected to cite examples of organization and time management /methods used to manage or prioritize workload demands. Must demonstrate project management experience in planning, executing, escalating issues and maintaining a project from start to finish. (Required) 
• Demonstrated experience working effectively within a team. (Required) 
• Demonstrated experience driving results through the exercise of influence on peers and/or more senior associates. (Required)
• Demonstrated knowledge of FINRA, SEC and MSRB rules and regulations.
• Demonstrated thorough knowledge of the insurance, securities and investment advisory industry.
• Proven ability to accurately interpret and apply applicable laws, regulations and policies.
• Demonstrated ability to receive, organize and manage large amounts of diverse information and documentation. Must cite examples of organization skills.
• Proven ability maintaining a calm and professional demeanor when handling stressful situations, including pressure associated with volume workloads, and meeting deadlines and target dates.
• Demonstrated excellent verbal and written communication and presentation skills, interpersonal and collaborative skills with experience conveying information to internal and external customers at all levels in a clear, accurate, focused and concise manner. Verbal and written communications are to conform to proper rules of punctuation, grammar, diction and style.
• Proven strong quantitative and analytical skills, including demonstrated experience identifying, defining and resolving problems and collecting or interpreting data to establish facts and draw valid conclusions to provide effective resolutions. Proven experience with sound decision-making and critical thinking skills when dealing with multiple alternatives. Must demonstrate the ability to conceptualize and apply new methodologies.
• Advanced knowledge of word processing applications.
• Working knowledge of web-based applications including the internet.
• Proficient in Microsoft Office (Excel, Access, Word) applications, as well as intranet, email and mainframe applications.
• Proficient in Legal and Regulatory research applications.
• FINRA SIE and Series 6 within 180 Days (Required)
• FINRA Series 26 and any applicable other registration for the state of residence within nine months (Required)
• FINRA Series 7, 24, 52/53, 63 and 65 or 66 Upon Hire (Preferred)
• Advanced certification preferred - two or more of the following: CPA, CRCP, IACCP, CFA Investment Foundations Program, CFA, CSCP, CFE, CAMS; or may be required to obtain in 6 - 18 months depending on complexity of coursework and exam. (Preferred)

Work Setting/Position Demands:

• Works in an office setting and remains in a stationary position for long periods of time while working at a desk, on a computer or with other standard office equipment, or while in meetings.
• Requires the ability to verbally communicate and exchange accurate information to customers and associates on a regular basis.
• Requires visual acuity to read and interpret a variety of correspondence, procedures, reports and forms via paper and electronic documents, visual inspection involving small defects; small parts, and/or operation of machinery (including inspection); using measurement devices continuously. Visual acuity is required to determine accuracy, neatness, and thoroughness of work assigned.
• Requires the ability to prepare written correspondence, reports and forms using prescribed formats and conforming to rules of punctuation, grammar, diction, and style on a regular basis.
• Requires the ability to apply principles of logical thinking to define problems, collect data, establish facts, and draw valid conclusions
• Performs substantial movement of wrists, hands, and fingers for continuous computer work.
• Extended hours required during peak workloads or special projects/events.

Travel Requirements:

• 20% travel Travel required by car or plane at least 20% annually.