BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

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They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:
1195-208

Job Type:
Permanent

Title:
Compliance Director (1195-208)

Location:
Dallas, TX

Description:
RESPONSIBILITIES:
Ensure corporate policies are accurate, current and in compliance with
federal and state regulations. Review and update policies as laws change
Interpret and disseminate information on regulatory matters
Responsible for internal and external supervision, regulatory and compliance
training programs
Protect assets by establishing compliance standards; anticipating emerging
compliance trends; designing improvements to internal control structure
Attract new clients by maintaining state-of-the-art compliance programs;
bringing compliance recognition to the company; providing leadership in the
industry
Manage and set direction for the implementation of processes, standards and
procedures for their function and area of coverage
Maintain strong regulatory knowledge of subject matter, products and
services, and business processes relevant to their function and area of
coverage
Understand the Firmís business and identify opportunities for improvements
and for Compliance to make positive contributions
Participate in the development of strategic goals for their function and
develop and execute accordingly
Consistently improve/develop processes and procedures with a commitment to
risk mitigation and responsible finance
Develop and maintain working knowledge of business products/services, the
operational process flows, and corresponding sanctions risks and controls
Develop, initiate, maintain, and revise policies and procedures for the
general operation of the Compliance Program and its related activities to
prevent illegal, unethical, or improper conduct. Manage day-to-day operation
of the Program
Develop and periodically review and update Standard of Conduct to ensure
continuing currency and relevance in providing guidance to management and
employees
Collaborate with other departments (e.g., Risk Management, Internal Audit,
Employee Services, etc.) to direct compliance issues to appropriate existing
channels for investigation and resolution. Consult with the Corporate
attorney as needed to resolve difficult legal compliance issues
Monitor, and as necessary, coordinate compliance activities of other
departments to remain abreast of the status of all compliance activities and
to identify trends
Identify potential areas of compliance vulnerability and risk;
develop/implement corrective action plans for resolution of problematic
issues, and provide general guidance on how to avoid or deal with similar
situations in the future

REQUIREMENTS:
Minimum of 10 years of experience in control-related function in the
financial services industry
FINRA Series 7, Series 24, Series 63 or Series 66,65-66 required. Additional
licenses a plus
Significant experience in compliance and risk management
Support for financial institutional products and services is preferred
Bachelorís degree required
Previous project Management background
Ability to be strategic and creative
Solid organizational skills and strong attention to detail
In-depth knowledge of financial servicesí state and federal regulations
Ability to communicate both verbally and in writing in a professional and
effective way
Excellent analytical skills
Knowledge of Salesforce
Ability to work independently using sound judgment with little day to day
supervision on complex projects
Ability to effectively collaborate on projects and initiatives and build
relationships within the compliance departments as well as with business
partners
Skilled presenter with the ability to speak on multiple topics
Ability to discern relative risks to firm when analyzing potential business
solutions
Ability to understand how legal policy decisions in connection with business
unit projects and initiatives may affect other business units across the
company, and reconcile these situations by collaborating with appropriate
parties


Category:
Asset Management // Broker Dealer // Compliance and Legal

Contact:
matt@bcius.com