Compliance Systems Manager

Surveillance and Supervisory Controls Opportunity in Financial Services

Compliance Systems Manager


Preferred Location(s): Atlanta, GA, Phoenix, AZ or La Vista, NE

Qualified candidates in all locations and remote encouraged to apply.

Summary:

The Compliance Systems Manager is primarily responsible for the implementation, administration and monitoring of various Compliance and Trading review tools and solutions. This systems include but would not be limited to Transaction Review Systems and Surveillance Systems.

Additional responsibilities include:

  • Identifying systems-related projects and work to enhance these systems to support the Compliance and Supervision Departments. 
  • Maintaining and Managing relationships with external and internal vendors or suppliers as necessary.
  • Researching industry-related items, troubleshooting and assistance with testing efforts.
  • Collaborating with other areas of Compliance and Supervision (e.g., Field Supervision, Sales Supervision, Central Supervision and Advertising Supervision) for system enhancements and releases.
  • Assisting with the creation and implementation of Surveillance reports and solutions.
  • Creating and maintaining procedural documents, change management reports and trending reports that will be used for internal and external customers.
  • Conducting analysis of trade-related data and controls ensuring adequate processes and controls are implemented and maintained.
  • Staying fully informed of firm rules, guidelines and procedures as well as regulatory changes.
  • Monitor, testing, reporting, and enforcing transaction review systems and internal controls to ensure compliance with industry standards and the firm’s policies and procedures.
  • Engaging with key internal partners on various relevant risk mitigation activities and initiatives.
  • Engaging with key external partners (vendors, peers at other firms, industry committees) for benchmarking and information sharing to facilitate building a best in class surveillance program.
  • Creation of trending and executive management reports.
  • Assisting with regulatory audits and information requests.
  • All other duties as assigned. 

Education and Licensing Requirements:

  • Bachelor’s degree from accredited university in Business, Finance or related field is preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • Minimum 5 years’ related experience in Financial Services.
  • Proficiency with SQL server, VBA and Excel macros required.
  • Significant experience with the FIS suite of surveillance and trading tools.
  • Knowledge of the retail brokerage business, fee based advisory business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
  • Strong verbal and written communications skills required.
  • Proficiency in MS Office.
  • Must be detail-oriented, investigative and have the ability to work independently.
  • Ability to synthesize volumes of complex information and distill it into varying degrees of detail for various audiences, including senior management of the Firm
  • Ability to prioritize key deliverables, multi-task and work well under pressure and tight deadlines
  • Excellent communication skills.
  • Strong leadership and project management skills.
  • Detail-orientated and analytical with the ability to organize data and think critically.
  • Positive attitude with the ability to coach, a desire to learn, and effectively manage change.

Preferred Experience:

  • Experience with Independent Broker-Dealers preferred.
  • Power BI experience a plus.
  • FINRA Series 7, Series 24 and Series 63 licenses are preferred.
  • Significant experience in Compliance or Supervision preferred.
  • Wealth Management surveillance experience a plus.
Be A Part Of The Team Behind Our Success!

At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.