Broker-Dealer Compliance Coverage for Retail / Introducing Brokerage

Include : The Retail Broker-Dealer Compliance Officers responsibilities include serving as a compliance expert for brokerage activities supporting retail client base, understanding business processes and risks. They will establish and maintain compliance policies, procedures, and controls based on regulations. Implement and enhance the Compliance Oversight Program in alignment with division methodology addressing all relevant risks and corporate and local requirements. Proactively engage with First Line of Defense, control functions (Risk, Legal, Audit and IT) and participate in and provide management oversight on the development of the Compliance Oversight Program in response to changes in regulatory obligations and industry standards and best practices. Provide advice to firms Registered Representatives regarding applicable securities rules, regulations and firm policies. Demonstrate excellent communication skills, both oral and written. Should have the ability and experience to draf...Broker, Brokerage, Retail, Compliance, Compliance Officer, Dealer, Banking