Regulatory Examinations and Investigations
· Serve as the primary coordinator and project owner for all regulatory examinations, audits, investigations, and information requests from FINRA, the SEC, state regulators, exchanges, and other governmental agencies.
· Lead the firm’s responses to routine and cause examinations, investigations, cycle examinations, and regulatory inquiries.
· Coordinate information gathering efforts across Compliance, Operations, Technology, Risk, Finance, and business units to ensure timely and accurate responses to regulatory requests.
· Maintain examination logs, regulatory correspondence, document repositories, and response tracking systems.
· Prepare and coordinate management responses, remediation plans, and corrective action initiatives resulting from examinations or findings.
· Conduct internal investigations involving potential regulatory violations, supervisory concerns, customer complaints, and other compliance matters.
· Provide regular updates to senior management and the Chief Compliance Officer regarding examination status, findings, risks, and remediation efforts.
Clearing Operations Compliance Oversight
· Provide compliance support and guidance across all clearing operations functions.
· Maintain a thorough understanding of clearing and settlement processes, securities movements, securities lending, customer account activity, margin requirements, books and records requirements, and operational controls.
· Assist in the development and enhancement of policies, procedures, and controls designed to mitigate operational and regulatory risks.
· Participate in new product reviews, operational initiatives, and regulatory change management projects impacting clearing activities.
Trade Surveillance and Market Conduct
· Possess and maintain a comprehensive understanding of trade surveillance programs and market conduct requirements.
· Partner with surveillance personnel to evaluate potential trading violations and determine appropriate escalation and reporting actions.
· Support responses to regulatory requests involving trading activity and surveillance inquiries.
Anti-Money Laundering and Financial Crimes Compliance
· Maintain a thorough understanding of Anti-Money Laundering requirements applicable to broker-dealers and clearing firms.
· Support the administration and effectiveness of the firm’s AML program, including customer due diligence, transaction monitoring, sanctions compliance, and suspicious activity investigations.
· Assist with AML-related regulatory examinations, requests for information, and remediation efforts.
· Collaborate with AML personnel to identify emerging risks and strengthen financial crime controls.
General Compliance Responsibilities
· Monitor regulatory developments affecting broker-dealer clearing firms and assess their impact on the organization.
· Assist in the development and maintenance of Written Supervisory Procedures and Compliance Policies.
· Participate in risk assessments and control reviews across business and operational functions.
· Support implementation of regulatory initiatives and strategic compliance projects.
· Develop and maintain productive relationships with business leaders, affiliated firms, and control functions.
· Promote a strong culture of compliance and ethical conduct throughout the organization.