Job Description:

We are working on a new Compliance Manager role with a Broker-Dealer client in lower Manhattan. Our client is a full-service, integrated financial services firm that provides investment guidance for high-net-worth individuals and institutions. The position is an add to staff as the firm continues to grow.Responsibilities:Branch Office point of contact to help build compliant business partnerships. Branch managers are the direct supervisors of RRs.Enter trade daily in the order management systemConduct daily reviews of RR tradesConduct suitability/best interest reviews of recommended transactionsReview and approve new customer account applications.Review and approve cancel and corrects.Conduct review of exception reports and supervisory reportsCoach RRs on trading, policies, Reg Best Interest etc.Customer service and operational issuesPartner with compliance on client issues and potential complaintsReview all electronic communications (email, text)CAT daily reviews for error correction, etc.Daily TRACE / MSRB / EMMA reviewsMonitor supervisory systems related to personal trading accounts; employee gifts, received and given; political contributions; electronic communications.Assist in the implementation and maintenance of Written Supervisory Procedures and help ensure the firm's adherenceReview and action AML and trade specific exception reports generated by the clearing firmRequired Qualifications:3+ years applicable experienceFINRA LicensureIf you meet the required qualifications and are interested in this role, please apply today.The Solomon Page Distinction Our teams, comprised of subject matter experts, develop an interest in your preferences and goals and we act as an advisor for your career advancement. Solomon Page has an extensive network of established clients which allows us to present opportunities that are well-suited to your respective goals and needs - this specialized approach sets us apart in the industries we serve.About Solomon PageFounded in 1990, Solomon Page is a specialty niche provider of staffing and executive search solutions across a wide array of functions and industries. The success of Solomon Page reflects an organic growth strategy supported by a highly entrepreneurial culture. Acting as a strategic partner to our clients and candidates, we focus on providing customized solutions and building long-term relationships based on trust, respect, and the consistent delivery of excellent results. For more information and additional opportunities, visit: and connect with us on Facebook, and LinkedIn.Opportunity Awaits.