ED, Regional Compliance Officer (Northeast)
Core
Provide advisory guidance to the Wealth Management Northeast Regional team on regulatory policies, identify unusual conduct or potential violations, and lead compliance initiatives.
Role type
Executive Director, Regional Compliance Officer
Builds
Advisory guidance, compliance reports, and policy enhancements for the Wealth Management Field
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
SEC and FINRA regulations, sales practice and suitability, futures/annuities/structured investments, conflicts of interest, data analysis, leadership, regulatory judgment
Preferred skills
FINRA SIE, Series 7, 9/10, 24, 65/66
Technologies
None stated
Responsibilities
Provide compliance guidance to Regional Management; Participate in senior Compliance management meetings; Collaborate on high-risk matters (sales practice, conduct, outside business activities); Lead key projects for policy/supervisory improvement; Serve as escalation point for high-risk activities; Assist in developing/enhancing Firm policies and procedures; Conduct targeted employee training; Present regulatory updates to management; Provide trends and analysis reports on metrics.
Seniority
Executive Director, Senior Leadership