Top-tier financial services firm is seeking a Compliance AVP for their Flagship Branch Office. They will play a critical role in the assurances of Sales Practice adherence, full compliance with internal policy / regulatory requirements, successful audit reviews and the branch's overall development.

Key Responsibilities:

• Ensure compliance to all supervisory policies and procedures for growing flagship branch office.
• Supervise all client trading including equities, fixed income, advisory accounts, futures and commodities, structure products, securitized products, mutual funds, among other more specialized products and platforms including an internal investment advisory business.
• Supervise and monitor all client trading activity, specifically targeting account market value loss, performance analysis, concentrated positions and products, turnover, velocity, margin use.
• Identify and follow-up on risks and suitability concerns associated with such activity by adding valuable IR dialogue and client contacts wherever necessary.
• Supervise and monitor HNW relationships and households, ensuring account upgrades and KYC profile details are accurate and suitable for respective investments and products transacted.
• Review and approve new accounts; review and approve all correspondence; review suitability for pre-approved transactions.
• Prepare and conduct value added annual Investment Representative book reviews.
• Handle client complaints; follow internally designed compliance procedures and update senior management as necessary.
• Participate in the coordination of audits conducted by both regulatory agencies and internal control departments.
• Assist in ongoing education and training of NY sales force (100 + Irs) and operational and support staff of continually changing industry rules & regs.

Key Skills:

• 5+ years of professional experience.
• 3+ years of supervisory experience earned in high net worth office or regulatory environment dealing with varying sophisticated financial products and respective suitability concerns.
• Series 7, 66 (or 63/65 combo), 9 & 10 (or 8).
• Compliance background preferred.
• Proven team player with positive attitude, high energy level and proven ability to multi task and deliver timely accurate results.
• Exceptional interpersonal and communication skills.
• Proficient user of MS Office including Excel, Power Point, Excel & Outlook.
• Discreet, professional demeanor.
• Demonstrated ability to manage multiple objectives and deliverables in a fast-paced, client-driven environment shifting priorities as needed to meet business goals and objectives.
• Series 3 preferred – if not currently held, successful completion shall be required shortly after employment begins.
• Proven ability to competently handle multiple responsibilities, with a high degree of accuracy and precision, in a high pressure environment.
• High degree of initiative, and ability to work productively with minimal supervision.
• Interest in professional development towards Supervision and Branch Management.

Contact: Please submit your CV to info@compliancesearch.com