- Support the development, enhancement implementation, and governance of the compliance management program across the broker dealer.
- Establish and manage the compliance management program working closely with the business to evaluate identified risks and adherence to Compliance policies and procedures.
- Stay apprised of industry trends and best practices to anticipate future areas of focus for regulators and proactively communicate them to senior leadership and apply best practices as necessary.
- Manage regulatory change and partner with the business to implement regulatory changes.
- Analyze new and existing laws, rules, and regulations to determine requirements for various areas and changes that need to be implemented partnering with the business to operationalize solutions.
- Partner with key areas to implement any changes to laws, rules, and regulations and provide advisory support.
- Participate in internal control reviews and provide guidance on governance and controls.
- Collaborate with business to ensure timely remediation of compliance related issues when identified by regulators, internal audit, and other stakeholders.
- Serve as a key compliance contact for regulatory interactions and requests, including regulatory examinations and other presentations to regulators.
- Develop and deliver presentations to management governance committees on the effectiveness of the compliance program, emerging risks, and the status of existing issues.
- Identify and enhance Compliance key risk indicators (KRIs) to identify emerging risks and areas that require escalation and remediation.
- Partner with Enterprise Risk, business unit leaders, and other senior executives on various special projects to manage risks and develop strong internal controls.
- Work with the other leaders to foster a culture of compliance within the organization through various initiatives, including organization-wide trainings, communications campaigns, and workshops.
- Lead teams within the Compliance function and act as a mentor to the team members.
- Foster a culture of continuous learning and development within the team.
- Partner with the Chief Compliance Officer in enhancing the compliance culture through on-going communication, conducting staffing assessments, refining operating model, and designing trainings for Compliance.
- Must have at least 10 years work experience with a minimum of 7 years of direct experience in a self-clearing US broker-dealer operating in the wealth management space
- Significant prior exposure to retail finance and banking operations and its related rules and regulations is required as is significant direct experience in a compliance-related function.
- Knowledge of regulatory and compliance risk methodology and standards
- Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in our compliance systems as required to perform the duties of this position.
- Able to work overtime as necessary to keep current with work
- Care hard for customers and each other
- Bring ambition to everything we do
- Own it all the way
- Work as one open team
- Right from day one, you will work alongside exceptional, multicultural teams - experts in their respective fields - who will inspire and challenge you to make your greatest impact.
- Be part of a highly successful, rapidly growing, global business that is leading the delivery of financial services via cloud computing and partners with some of the world's largest companies;
- Working in a flexible and agile way that meets the needs of the business and personal circumstances;
- Remuneration, significant financial rewards and career advancement is based on individual contribution and business impact rather than tenure or seniority;
- We provide global career opportunities for our best employees at any of our offices in the UK, EU, US, Canada, South Africa, and APAC.
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Deputy Compliance Officer - Charlotte, United States - FNZ
Description
Role Description
FNZ Securities USA, headquartered in New York City, is a self-clearing broker-dealer which provides fully disclosed clearing and custody services to introducing broker-dealers and RIAs in the wealth management space.
We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect to commence operations in 2024.
The Deputy Compliance Officer role supports the Chief Compliance Officer (CCO) in managing the Compliance function and will be responsible for providing guidance and oversight across the broker dealer's compliance management program, ensuring that teams are proactively understanding regulatory requirements and effectively implementing related initiatives across different business units and functions.
The Deputy Compliance Officer will have exposure to and interactions with executive stakeholders within the organization and with regulators on the overall compliance environment, reporting on effectiveness of the compliance management program, and the identification of emerging risks.
Beyond overseeing components of the compliance management program, this individual will also provide leadership, guidance, and mentorship to multiple teams within Compliance, fostering an environment of excellence and continuous learning.
This position will play a critical role in enhancing and scaling our compliance management program.Position Responsibilities
Compliance Program
Our culture is what drives us. It's at the heart of who we are and everything we do. It's what inspires, excites, and moves us forward.
Our ambition is to create a culture for growth, one that opens up limitless opportunities for our employees, customers and the wider world.
At FNZ we know that great impact is only possible with great teamwork.That's why we value the strength and diversity of thought in our global team.
The FNZ Way is the cornerstone of what we do.
It is comprised of four values that set the standard for how everyone at FNZ interacts with each other, with our customers, and with all our diverse stakeholders around the world.
Opportunities
FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back.
We created wealth's growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution.
We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA).
Together with our customers, we help over 20 million people from all wealth segments to invest in their future.
