Job Description

　　We are seeking a proven and seasoned compliance and securities professional to serve as both Chief Compliance Officer (CCO) and Branch Manager responsible for the delivery of compliance programs and the direct supervision of the assigned branch team for a prestigious wealth management client of Insight Global's.

　　As the CCO, this person will be responsible for all matters relating to the compliance program, and will work closely with financial professionals, the management team, and key constituencies within the Compliance, Legal, and Supervisory departments, as well as other departments as needed. As Branch Manager, this person will be responsible for the comprehensive supervision of all registered representatives and their transaction activities within the New York branch.

　　The CCO/Branch Manager reports directly to the Chief Executive Officer.

　　Key Responsibilities:

　　Draft and maintain policies and procedures to ensure that broker-dealer and RIA compliance programs meet applicable laws and regulations and ensure that registered reps operations are conducted in compliance with applicable policies and procedures

　　Responsible for the direct supervision of all NYC registered representatives who engage in direct business with customers

　　Oversee compliance risk assessments and manage the departments testing and monitoring program in accordance with regulatory expectations and best practices

　　Review, revise, and test compliance programs in accordance with rule 3120/3130, and 206(4)-7 [GW1] standards

　　Responsible for working directly with the operations department to ensure the proper clearance and settlement of daily transactions and the correction of errors.

　　Conduct thorough and ongoing supervision of all registered representatives, monitoring their compliance with regulatory requirements and firm policies.

　　Follow the established supervisory controls and procedures in line with FINRA Rule 3110, ensuring that representatives act in the best interest of clients and adhere to the principles of suitability and Regulation Best Interest (Reg BI).

　　Approve new customer accounts

　　Review and approve overnight IB transaction allocation and IOIs

　　Daily review client accounts and transaction activities to identify any irregularities, potential conflicts of interest, or deviations from standard practices.

　　Ensure that all transaction and customer issues are resolved and reported to the CEO.

　　Meticulously document evidence of the supervisory review process in the Compliance Checklist Excel document

　　Maintain comprehensive customer and daily transaction records in accordance with SEC and state securities regulator rules, ensuring that all documentation is readily accessible for regulatory inspections.

　　Train junior staff

　　Approve wires when necessary

　　Be a subject matter expert when dealing directly with financial professionals on a variety of compliance, regulatory and business/industry topics

　　Provide recommendations to the business regarding the implementation of new rules and regulations

　　Provide thought leadership and proactively collaborate with other departments and financial professionals as needed to ensure compliance reviews, issues and/or concerns are resolved

　　Participate as a member of the management and compliance leadership team by providing input on strategic business planning, forecasting, and various company initiatives

　　Develop and deliver internal training programs for employees and financial professionals across the enterprise, including firm element and annual compliance meeting

　　Update and file the firms Form B/D and ADVs to ensure they are maintained and current

　　Respond to regulatory inquiries, examinations, internal audits, and other reviews and requests

　　Review and contribute to due diligence on products, programs, new hires, and acquisitions

　　Conduct assessments, surveillance, and testing of compliance programs

　　Partner with the legal and regulatory team to proactively analyze and manage changes to regulatory requirements

　　Effectively consult with financial advisors, brokers, and investment banking teams at all levels of the organization

　　Assist with the investigative process for escalated customer and representative compliance issues as necessary

　　Skills and Requirements

　　Series 7, 24, and either the 63 or 66. A Series 4, 53, and/or 79 would be a plus.

　　A Bachelor's degree (B. A. / B.S.) from a four-year college or university; along with ten plus years related experience and/or training are required

　　Significant (7-10 plus years) industry experience related to Broker/Dealers and Registered Investment Advisers

　　5+ years of leading people with ability to manage and effectively influence while providing advice and guidance.

　　Thorough knowledge of the independent broker-dealer/adviser business from a product, corporate governance, compliance, and administrative perspective

　　Broad exposure to key functional areas of product due diligence, recruiting and retention, and onboarding and integration of new reps, employees, independent contractors, OSJs, and acquisitions

　　Strong knowledge of FINRA and SEC rules and regulations, including Regulation Best Interest, and the Investment Advisers Act of 1940

　　Demonstrated experience with FINRA Rules 3120/3130, Advisers Act Rule 206(4)7 testing, conducting risk assessments, updating Form ADV, as well as drafting policies and procedures Experience with My Compliance Office a plus.

　　A Series 4, 53, and/or 79 would be a plus. null

　　We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal employment opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment without regard to race, color, ethnicity, religion,sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military oruniformed service member status, or any other status or characteristic protected by applicable laws, regulations, andordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or the recruiting process, please send a request to [email protected].