Accessibility Links

Central Compliance Operations Manager

  • Job type: Permanent
  • Location: Jacksonville, Florida
  • Salary: US$100000 - US$130000 per year
  • Job reference: 228191/001_1539873176
  • Sector: Selby Jennings, Compliance
  • Date posted: 18/10/2018

Central Compliance Operations Manager

My Client is a Global Banking Group and they are looking for a motivated Central Compliance Operations Manager to be part of their growing Central Compliance team in Jacksonville, Florida. The Central Compliance team plays a key role in providing subject matter expertise on legal entities and individual licensing, personal compliance matters, regulatory interactions and management of regulatory relationships, and regulatory change. This Central Compliance Operations Manager must possess FINRA and NFA experience and will be responsible for oversight and the administration of licensing requirements for regulated entities and personal compliance policies.

In this role, you will be responsible for:

  • day-to-day oversight and management of a small team focused on licensing and registrations for our regulated entities.

  • You will maintain a strong working knowledge of the regulatory requirements for FINRA and NFA licensing and registrations and ensure any developments/changes are incorporated into our procedures and practices as appropriate.

  • You will put your compliance knowledge and expertise to work to ensure regulated entity reporting and disclosures are made accurately and in a timely manner.

  • You will provide administration of personal compliance policies and associated reporting, as well as assist with general compliance projects that arise from the Risk Management Group Compliance oversight activities.

To be successful in this role, you will bring:

  • Bachelor's degree (or equivalent) in a relevant field,

  • Minimum of 5 years' experience in broker dealer and/or swap dealer compliance.

  • It will be essential that you have a strong working knowledge of FINRA and NFA registration requirements.

  • The ability to take a pragmatic, commercial approach whilst achieving the desired outcomes

  • Strong communication skills, ability to exercise discretion, work independently, determine priorities and meet deadlines

  • Management experience/ experiencing leading a team.

Similar jobs
Control Manager - Consumer Banking
  • Job type: Permanent
  • Location: Charlotte, North Carolina
  • Salary: US$125000 - US$150000 per annum
  • Description My client, a top bank with headquarters across the US is seeking a seasoned operational risk management professional to assume ownership of the Bank's Compliance Testing program across all lines of
AVP, Regulatory Compliance Testing - Consumer Banking
  • Job type: Permanent
  • Location: Charlotte, North Carolina
  • Salary: US$110000 - US$130000 per annum + Bonus
  • Description Our client, a leading banking organization is expanding their Compliance and Operational Risk groups specifically focsued on compliance and controls testing. Seeing exponential growth at the moment
Sr Compliance Tester
  • Job type: Permanent
  • Location: Charlotte, North Carolina
  • Salary: Negotiable
  • Description My client a leading banking organization in the market right now is looking for highly talented Operational Risk, Audit, and/or Compliance professionals to help further develop the Consumer Banking
SVP, Operational Risk
  • Job type: Permanent
  • Location: Charlotte, North Carolina
  • Salary: US$175000 - US$225000 per annum
  • Description My client, a top bank with a global footprint, is seeking an individual to drive the development and implementation of an enhanced Operational Risk & Control program across all lines of business
Risk & Control Manager
  • Job type: Permanent
  • Location: Charlotte, North Carolina
  • Salary: US$100000 - US$115000 per annum
  • Description My client, a top bank with a global footprint, is seeking an individual to drive the development and maintenance of policies and operational controls across all lines of business under the wholesale