Compliance Generalist

Citizens JMP Securities, LLC. (CJMP MPID: JSSF) an Institutional broker-dealer focused on bond & equity underwriting, sales and trading, research, and M&A advisory services, is looking for a Compliance Generalist to assist in monitoring and oversight in support of the business. The Compliance Generalist will play a crucial role ensuring adherence to all relevant laws, regulations, and internal policies, by acting as a bridge between the business and regulatory bodies, and by providing guidance on navigating compliance issues to facilitate informed decision-making within the organization. This is a unique opportunity to take your career to the next level by digging deep into SEC & FINRA rules and regulations along with learning about the products themselves - while working directly with several Compliance Directors. 

Key Responsibilities

• Surveillance and monitoring of policies and procedures including equity and fixed income trading, personal trading; outside business activities and other general compliance processes
• Assist in preparing written policies and procedures and support remediation efforts of compliance
• Assist in ongoing compliance training of the firm and orientation for new hires
• Ensure required regulatory filings are completed on a timely basis and updated as necessary and confirm all associated persons and entities hold appropriate licenses and registrations
• Ensure required books and records are properly maintained pursuant to SEC requirements
• Assist in connection with periodic testing, on-site regulatory examinations and ad-hoc inquiries
• Work proactively to identify potential problems & compliance issues
• Will report to and work closely with the company's Compliance Directors
• Provide compliance support for sales and trading, as well as related support functions
• Communicate with management, risk management, & sales and trading personnel
• Actively monitor regulatory developments and trends, participate in industry forums to address new rule proposals, and take appropriate action to ensure the business unit understands and complies with new or amended regulations, including updates to policies and procedures
• Assist in regulatory reviews, audits, and other examinations
• Maintain the Firm’s Watch List and Restricted List
• Monitor and maintain information barriers between Research and Investment Banking
• Manage disclosure process for Research publications and public appearances

Required Skills, Experience and Qualifications

• 3-4 years of Compliance experience, ideally, with a Broker-Dealer. 
• Candidates with experience with a Compliance Consulting firm, or Bank will also be considered.
• Bachelor's Degree in a related field.
• Experience identifying compliance issues and operational risk concepts.
• Familiarity with SEC rules, FINRA rules, and U.S. equity and options exchange rules

Preferred Skills and Qualifications

• Strong written and verbal communication skills, a can-do-attitude, enthusiasm, and a strong aptitude for learning.
• The ability to effectively prioritize workloads and complete tasks within well-defined guidelines and time constraints is essential.
• Organizational skills and attention to detail are critical given the nature of paperwork, processes, and work, upon which both clients and the Firm depend.
• Knowledge of FINRA/SEC compliance and/or supervisory procedures
• SIE Exam and Series 7 registration preferred. If this person does not have, expected to obtain within a year
• Ability to collaborate and interact with multiple business structures
• Strong business and product knowledge, including SEC and FINRA regulations. Familiarity with TRACE reporting requirements, SEC Rule 605/606.
• System/Technology experience: MyComplianceOffice, Global Relay, MarketAccess, nTier.
• Strong time management skills

Hours & Work Schedule:
Hours per Week: 40
Work Schedule: M-F 8-5

Pay Transparency:
The salary range for this position is $84,000-$105,000 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on various factors inclu