Vice President of Compliance

Job description:

The position is a mid-level or higher role within our compliance department, with room for growth, reporting directly to the CCO. You will serve as liaison between a number of parties: our clients, employees, regulators, and third-party vendors concerning our regulatory compliance with Securities Laws and Regulations.

Reports to: Chief Compliance Officer

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Responsibilities:

Respond to regulatory inquiries and examinations

Assist with drafting/editing and maintaining Written Supervisory Procedures (WSPs)

Assist with annual compliance training

Assist with annual compliance filings/ reports

Review employee personal trading requests for approval

Review employee emails and texts for potential compliance violations

Perform AML and OFAC checks on new accounts

Work with trading, operations and management on day-to-day trading risk management

Respond to client requests and annual auditor requests

Responsible for CAT and CAIS Reporting processes

Monitor and supervise trading surveillance

Maintain employee combined firm attestations

Must have SIE, Series 7TO (Registered Representative), and Series 63 (Blue Sky Agent) licensing examinations. Series 99 and 24 registrations, if not already held, are required within six months of hire.

Benefits include healthcare, dental, 401k participation with a defined match, PTO, VTO (volunteer time off), maternity and paternity leave.

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What we Offer:

• Rosenblatt offers a family-friendly work environment that is filled with driven people all working on the same team to the same ends.
• The opportunity to learn, grow and contribute with agility given our size and open-door and collaborative work environment. New ideas are welcomed.
• A hybrid-schedule option (NYC-location only) in the near-term.
• Compensation: salary $150-$200,000 commensurate experience and fit, with an additional discretionary bonus component available.

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Desired Qualifications Include:

• Bachelor’s Degree, a minimum 3-5 years of experience in the financial services industry, ideally in the securities industry or compliance function.
• Strong analytical skills with the aptitude to absorb and distill large amounts of data
• Unimpeachable integrity
• A rule following mindset balanced with a predilection for problem-solving
• A positive and energetic attitude
• An ability to learn quickly and multi-task
• Excellent written and verbal communication skills; high EQ
• An ability to work both independently and collaboratively