The employer is one of the world's leading financial groups.
- Establish Technology Compliance CoE to efficiently and effectively drive global regulatory guidance, communicate requirements and advise on change management.
- Coordinate with, and advise, IT of the Compliance requirements associated with the development of new systems and technology development.
- Ensure Technology has the proper controls in place and escalate any issues.
- Work with Technology to develop standard operating protocols for IT system development and maintenance.
- Social Media: Provide guidance on regulatory developments related to Social Media.
- Knowledge of FINRA, SEC & MSRB rules and regulations
- Highly organized, detail-oriented and exceptional Communications skills
- Ability to multi-task and work in a fast-paced environment
- Previous Broker/Dealer experience
- Extensive knowledge of the securities industry and applicable regulation
- Keen understanding of Technology
Associated topics: annuities, broker, brokerage, derivatives, dow jones, fiduciary, fund, ira, market, stock