This position serves as a Compliance liaison to the Institutional division, Institutional Sales, and Corporate Compliance while performing oversight of a centralized OSJ. The candidate will report into the Senior Manager of Institutional Sales Compliance and Programs in Jersey City, NJ.
Primary areas of responsibility require an extensive knowledge of broker dealer, investment advisor and internal company policies and procedures.
·Provide expertise and guidance to the Institutional Sales Teams, Institutional and Corporate Compliance as well as Products and Business Solutions.
·Formulate and effectively communicate guidance and alternatives to business unit decision makers.
·Solicit ideas and opinions from appropriate contacts
·Ensure all work is given the appropriate level of review. Exceptions are referred to the appropriate area and items are escalated as appropriate.
·Facilitate communication among Institutional division and Compliance relating to the identification and management of risk and resolution of issues.
·Develop and maintain written supervisory procedures as needed. Assist with new product and services review and assessments. Remain abreast of company's policies and procedures and pertinent industry regulations, laws and legislative matters.
