Employee Compliance Manager
Skills
- Strong process orientation and documentation skills
- Team management and leadership experience
- Excellent communication and collaboration abilities
- Ability to manage multiple priorities and adapt to change
- Knowledge of compliance regulatory requirements
- Familiarity with registration systems or vendors (ComplySci preferred)
Responsibilities
- Manage the Registrations and Personal Account trading teams within the Employee Compliance group
- Provide oversight, guidance, and support on daily team operations
- Identify opportunities for process improvements and lead modernization initiatives
- Oversee the full lifecycle of employee registration and regulatory filings including Form U4/U5 and background checks
- Ensure timely and accurate regulatory compliance and responses to inquiries
- Serve as escalation point for team questions
- Collaborate with compliance leadership to ensure consistent standards across teams
- Coordinate with external vendors for system and process implementations
- Stay updated on regulatory changes and adapt team practices accordingly
Education
- Bachelor’s degree or equivalent experience preferred
Benefits
- Professional development opportunities
- Collaborative team environment
- Exposure to evolving regulatory landscape
- Opportunity to lead modernization of compliance processes
Average salary estimate
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