Location: New York,NY, USA
**Compliance Officer (Advisory & Broker Dealer)**
at Leumi USA New York, NY USA * Key participant in and contributor to the execution of LISI (Leumi Investment Services Inc) Compliance Program, ensuring alignment with the Firms compliance and strategic direction and recommend policyand/or action based on internal and external industry developments for area of responsibility. LISI is a broker dealer and a registered investment advisor.
* Serve as a strategic resource and advisor to business units, internal team members, and management, providing a range of support and analysis on regulatory compliance requirements, issues, and/or best practices.
* Interface with all levels of management
* Bank Leumi is a relationship-driven boutique bank focused on Commercial & Private Banking with global ties.
* We are driven by the success of our clients and value personal initiative, original thinking and recognize outstanding performance.
* 93% of employees say were a Great Place to Work
**Why you should consider applying to this opportunity:**
* Learn about the various products and services within the broker dealer and Advisory business
* Interested to work on smaller team as an individual contributor where you get a lot of independence, autonomy, and be a decision maker
* Excited to use excel to automate processes and take the team of the next level
**Summary**
**Our Expectations For Someone In this role:**
* Serve as a strategic resource to business units, internal team members, and management providing a range of support and analysis on regulatory compliance requirements, issues, and/or best practices, including the provision of guidance in the design, development and/or enhancement of processes and controls to manage compliance risks.
* Advise and consult on proposed new products, services, and initiatives regarding compliance obligations and corresponding compliance risks, and mitigating controls.
* Advise and support the business lines in the establishment and execution of action plans to address compliance deficiencies, findings, and/or recommendations of examiners, internal audits, and self-identified issues
* End-to-End Ownership of Project Management, including defining problem, proposing solutions, gaining buy-in from key stakeholders, and establishing deadlines.
* Develop Dashboards and Reports that contain key compliance and RR metrics broken down by office and individual RRs
* Automate manual processes (eg, license and registration, review of outside employee accounts, social media approval process, outside business interests, etc.) to be more efficient
* Develop and execute a supervisory control program (for LISI) relating to its broker dealer and registered investment advisory businesses
* Ensure that LISI registered representatives reasonably adhere to self-regulatory, federal, state, Bank Leumi and other applicable laws and regulations.
* Conduct surveillance and reviews relating to AML, Sales Practices, E-mails, Outside Employee Accounts, Outside Business Interests for broker dealer and registered investment advisory businesses (RIA)
* Manage Licensing & Registration and Annual Training
* Special Projects, including Risk Assessment
* Update policies & procedures, ADV, annual disclosures
* Interface with internal and external auditors and regulators
**Skills & Experience:**
* Bachelors Degree required
* Minimum 5-10+ years previous experience performing relevant regulatory compliance functions in the securities industry including experience with both broker dealer and registered investment advisory firms
* Knowledge of SEC, FINRA, and Firms policies and procedures
* Active Series 7, Plus if you have the 63/65 (or 66), 24
* Strong written, verbal, and interpersonal skills, including ability to communicate effectively with senior level management.
* Ability to work independently. Excellent project management and organization skills, including ability to handle multiple projects at the same time while attentive to details and effectively meeting deadlines.
* Advanced analytical and highly developed critical thinking skills.
* Capabilities to work with IT / Operations on new systems/applications; familiarity with NetX360, Excel (Advanced), and Service Now necessary to complete assigned tasks and projects.
**What success looks like for someone in this role:**
* 3 months: Become familiar with Leumi Investment Services Inc (LISI) team, understand the activity of broker dealer and advisory business, understand the integration between the advisory business/broker dealer and the bank. Become familiar with our products and services within the broker dealer and advisory business. Start to take on workload without assistance (supervisory function). Work on various surveillance reports as well as supervisory review of particular area of broker dealer, and advisory businesses.
6 months: Be integrated with compliance team, understand all functions, projects, and reviews. Continue to work on the supervisory control program.
12 months: Ability to take initiative, be proactive about changes, and help come up with new solutions to make the team more efficient.
**Why us:**
Our spirit is entrepreneurial. Personal initiative is valued. Original thinking is encouraged. Outstanding performance is recognized. Walk through our doors and youll see why.
We hire people who want to be catalysts for todays solutions and tomorrows successes.
We know our employees are our greatest asset. Were committed to helping you invest in yourself both financially and developmentally. We want our employees to embrace their personal passions.
We work hard but always leave time to unwind and connect. Our employees are doing great things and enjoy spending time together in the office and out. We encourage our people to bring their whole selves to work, embrace individuality and promote diversity of thought.
**Company values:**
* Passion: We are driven by the positive impact we can have on our clients, colleagues and partners, and go above and beyond to achieve it.
* Accountability: We are dependable, we get things done! We take ownership of our actions and our results. We acknowledge our mistakes and take action to grow from them.
* Care: We care deeply about people and build long-term high trust relationships. We are respectful and empathetic of differences.
* Excellence: We challenge the way things are done and take action. We align our efforts and actions with the priorities of the bank.
* Integrity: We adhere to the highest standards of honesty, morality and ethics, and speak up if we feel these are breached. We champion our values and lead by example. We are transparent with our intentions and communicate openly.
**U.S. Equal Opportunity Employment Information (Completion is voluntary)**
Individuals seeking employment at Leumi USA are considered without regards to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, or sexual orientation. You are being given the opportunity to provide the following information in order to help us comply with federal and state Equal Employment Opportunity/Affirmative Action record keeping, reporting, and other legal requirements.
Completion of the form is entirely **voluntary**. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.
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