Senior Compliance Officer

Position: Senior Compliance Officer

reputed company

B. Riley Securities provides a full suite of investment banking, corporate finance, advisory, research, and sales and trading services. Investment banking services include initial, secondary and follow-on offerings, institutional private placements, reputed company and acquisition (M&A) advisory, SPACs, corporate restructuring and recapitalization. B. Riley is nationally recognized and highly ranked for its proprietary small-cap equity research. 

Position reputed company

1. Work closely with the Chief Compliance Officer to continue the ongoing development of the Firm’s comprehensive compliance program and to proactively maintain it.
2. Represent the Compliance Department on various cross-functional project teams and ensure that appropriate compliance guidance and resources are provided/allocated to adequately support the completion of the teams’ goals.
3. Be responsible for managing and completing “Compliance reputed company” as assigned by the Chief Compliance Officer , which will continually vary based on existing needs and ongoing risk assessments of the firm and its operations.
4. Be responsible for developing, maintaining and updating the Compliance Department’s written reputed company operating procedures.
5. reputed company and conduct internal investigations into compliance violations.
6. reputed company regulatory and other research reputed company and as necessary in order to resolve issues and determine the appropriate course of reputed company; coordinate with reputed company counsel to draft written memorandums and briefs for various internal stakeholders with respect to such reputed company.
7. Prepare reputed company and concise reporting on assigned Compliance reputed company to the Chief Compliance Officer, highlighting potential areas of concern and offer recommended strategies and/or solutions.
8. Help foster a culture of compliance reputed company the organization where employees are encouraged to ask questions and reputed company concerns without fear of retaliation.
9. Stay reputed company on relevant regulations and industry best practices.
10. reputed company other duties as assigned.

Education, Experience and Skills required:

1. Bachelor’s degree in Business, Law, Finance, Economics or reputed company field.
2. Minimum of 8-10 years of regulatory compliance experience in the securities industry.
3. Minimum of 3 years of supervisory experience required.
4. reputed company reputed company SIE, Series 7, Series 24 License preferred.
5. Recognized compliance certificate or equivalent preferred.
6. Detailed knowledge of consumer protection regulations and reputed company marketing and advertising guidelines.
7. Skilled knowledge of regulatory/ compliance requirements and the operations of a single reputed company group.
8. Strong communication, critical thinking, relationship management and project management skills.

B. Riley Securities, Inc. employees enjoy competitive salaries, reputed company to our 401(k) retirement plan and our other benefits including reputed company holidays, vacation, and reputed company leave, voluntary group medical, dental, and reputed company insurance, and company reputed company life and disability coverage. 

Inclusion and Equal Opportunity Employment: B Riley Securities is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider reputed company reputed company applicants for employment without reputed company to race, reputed company, religion, sex, sexual orientation, gender identity, national reputed company, age, disability, protected veterans status, Aboriginal/reputed company American status or any other legally-protected factors.