What are the responsibilities and job description for the AVP Compliance Generalist position at DLR Associates Recruiting?
Job Description
AVP – Employee Compliance, Control Room, and IT Compliance (Midtown: in-office M-Th)
Employee Compliance
• Monitor and evaluate employee compliance with the Firm’s policies and procedures, including
those related to personal trading, account disclosure, and outside activities
• Review and respond to employee personal trade and brokerage account requests
• Conduct investigations into potential compliance violations, document findings and recommend
corrective actions as necessary
Control Room
• Maintain, update, and monitor the Firm’s Watch List and Information Barriers
• Provide guidance to employees and enforce policies and procedures related to Watch List
management and the timely reporting of material non-public information
• Conduct periodic reviews and assessments to ensure the effectiveness of information barriers
and internal control processes
• Investigate potential breaches related to Information Barrier and Watch List reporting,
documenting findings and recommending corrective actions as necessary
Information Technology Compliance
• Collaborate with the Firm’s IT team to leverage existing and new technologies to support the
Firm’s supervisory and surveillance programs
• Conduct compliance assessments around Firm wide technology initiatives and provide guidance
on compliance and regulatory implications
• Manage IT access requests to ensure compliance with Firm policies and applicable regulatory
requirements
• Monitor and analyze data access and usage to ensure compliance with Firm policies
• Contribute to procedures to regularly review compliance with the Firm’s electronic access and
permissions policies and procedures
AML
• Provide advice to onboarding team, testing and reviewing high and medium risk clients.
Skills and Qualifications
• Bachelor’s Degree and prior Broker-Dealer experience required
• 3-5 years’ experience in a compliance role within the financial services industry
• Familiarity with Control Room operations, Watch/Restricted List management, employee
compliance, personal trading, and IT compliance
• Strong technical skills including Microsoft Suite (Excel, PPT, Word, etc.)
• Ability to merge multiple datasets, synthesize/prepare reports in Excel and PowerPoint
• Experience with Varonis or similar tools for data access and usage monitoring, permissions
• General knowledge of file sharing tools and APIs used in the financial services industry
Contact David Reitman, DLR Associates (914) 693-9165 david@dlrassociatesrecruiting.com