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Job Category: Hot Jobs
Date Posted: 05/08/2013
Job Title: Regulatory Compliance Manager
State/Location: New York, NY
Company: The Compliance Search Group
Contact: Jack Kelly - JKelly@ComplianceSearch.com
Description: Our client a highly capitalized insurance company seeks a Regulatory Compliance Manager to oversee a staff of four responsible for the following:

Coordinate and respond to information requests and exams from regulatory agencies for the Broker-Dealer and Insurance Company.

Handle regulatory reporting to FINRA and State Departments of Insurance including Form U4 and Form U5 amendments and Rule 4530 filings in connection with customer complaints, litigations/arbitrations, internal reviews, disciplinary proceedings, terminations, sales practice issues and other regulatory matters.

Oversee all aspects of these compliance functions to ensure that all matters are handled timely and accurately and consistent with applicable state and federal laws and rules, including SEC and FINRA requirements, as well as meet or exceed industry best practices.

Advise senior management and internal business partners on the regulatory and compliance implications arising from any regulatory matters.

Review and prepare regular reports to Senior Management and the Board of Directors on regulatory compliance matters.

Establish the strategic direction for and manage all aspects of the compliance function.

Oversight and development of a robust and sustainable compliance program, leading process improvement efforts including but not limited to system enhancements, establishing, maintaining and managing effective processes and modifying policies and procedures designed to achieve compliance with applicable state and federal laws and rules, including SEC and FINRA requirements, as well as meet or exceed industry best practices.


- Bachelor's degree

- 5+ years of compliance or regulatory experience

- 3+ years of staff management experience

- Requires Series 7 & 24 FINRA licenses

- Strong analytical and problem-solving skills

- In-depth industry and regulatory knowledge of the securities and insurance products and business, including SEC and FINRA requirements

- Excellent interpersonal and relationship building skills, a high degree of professionalism, and the ability to manage in a complex and dynamic

- Proactive, result-oriented with the ability to handle multiple issues simultaneously

- Experience in presenting to senior management

- Proven leader with the ability to engage, motivate and develop employees and retain talent
J.D. preferred

To apply please submit your resume to Jack Kelly – Jkelly@ComplianceSearch.com

The Compliance Search Group is the oldest, largest and most respected global search firm focused on the placement of Compliance, Legal, Risk Management, Audit, Credit, Accounting, Financial Controls and Regulatory professionals.
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