Business Unit Compliance Officer Job Listing at Valley Bank in New York, NY (Job ID 26-145)

Description

Responsibilities include but are not limited to:

• Design and execute on comprehensive control and testing framework pursuant to SEC Rule 206(4)-7; assist with testing framework pursuant to FINRA 3120.
• Prepare Form ADV materials.
• Prepare annual 206(4)-7 report to senior management/Board of Directors.
• Establish and maintain compliance programs for business line and drive a culture of compliance within the firm.
• Identify and assess the firm's compliance risks and perform the annual risk assessment.
• Conduct, no less than annually, a compliance meeting wherein compliance matters relevant to all supervised persons' activities are discussed.
• Conduct and document ongoing compliance training for all employees.
• Monitor client communication notices, including correspondence and email.
• Review and respond to client complaints.
• Review and approve contracts, disclosure documentation and marketing materials.
• Monitor supervised persons' securities transactions and personal securities holdings. Participate in and process responses for parent company audits and self-assessment inquiries.
• Act as firm liaison with regulators and respond to all regulatory inquiries; liaise with outside counsel or consultants as needed.
• Identify and monitor trends in regulatory and industry environments and assess their impact on the organization.
• Research complex compliance issues and report recommendations to management.
• Develop proactive compliance tools.
• Maintain required registrations and filings, written supervisory policies and procedures manual.