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Responsibilities: The Compliance Officer is also responsible for ensuring these standards, policies, and procedures are communicated and institutionalized throughout the Company and for monitoring employee compliance with the same. Essential Duties and Responsibilities include:. Review the existing compliance policies and procedures of each regulated entity to identify potential areas of compliance vulnerability and risk of illegal, unethical or improper conduct. Work with the General Counsel and Chief Compliance Officer to establish, maintain and revise polices and procedures as necessary to close gaps indentified during the review process. Work with the General Counsel and Chief Compliance Officer to periodically review and update the various Compliance Manuals and Code of Ethics. Deliver education and training for employees whose functions or responsibilities involve compliance with laws, regulations or standards of conduct. Supervise day-to-day implementation and operation of the compliance program of Managed Account Services, LLC and CbF Advisors, LLC including the following activities: trade blotter review and approval, exception report approval, administration of appropriate employee regulatory registrations, CIP verification, outside securities account statement review, correspondence review (including electronic correspondence) and marketing material review. Identify changes in applicable rules, regulations, standards and related trends that are relevant to the Company’s compliance programs. Monitor employee compliance through the regular review of exception reports, supervisory control reports, outside brokerage statements, personal securities/holdings reports required under applicable Code of Ethics and employee attestations. Conduct periodic audits of branch offices / functional areas to verify compliance with policies and procedures. Document findings and any remedial action taken to close gaps identified during audit. Establish a system for uniform response to alleged violations of rules, regulations, policies and procedures. Work with the General Counsel and Chief Compliance Officer to recommend disciplinary or corrective action in response to violations, as appropriate, to senior management. College degree required in a related field. 5-10 years experience in the field or related area required. High level computer competency to include MS Office and network shared drives required. Series 7 and 24 preferred. Ability to work independently, with confidential information, prioritize, multi-task, and interact with all levels of internal and external contacts. High level analytical and problem-solving skills. Excellent oral and written communication skills as well as organizational skills. |
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