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VA
Business Unit Compliance Officer
Valley National BankNew York City, United Statesfull_timeVerifiedPosted 18 Feb 2026
About the role
Responsibilities include but are not limited to:
- Design and execute on comprehensive control and testing framework pursuant to SEC Rule 206(4)-7; assist with testing framework pursuant to FINRA 3120.
- Prepare Form ADV materials.
- Prepare annual 206(4)-7 report to senior management/Board of Directors.
- Establish and maintain compliance programs for business line and drive a culture of compliance within the firm.
- Identify and assess the firm's compliance risks and perform the annual risk assessment.
- Conduct, no less than annually, a compliance meeting wherein compliance matters relevant to all supervised persons' activities are discussed.
- Conduct and document ongoing compliance training for all employees.
- Monitor client communication notices, including correspondence and email.
- Review and respond to client complaints.
- Review and approve contracts, disclosure documentation and marketing materials.
- Monitor supervised persons' securities transactions and personal securities holdings. Participate in and process responses for parent company audits and self-assessment inquiries.
- Act as firm liaison with regulators and respond to all regulatory inquiries; liaise with outside counsel or consultants as needed.
- Identify and monitor trends in regulatory and industry environments and assess their impact on the organization.
- Research complex compliance issues and report recommendations to management.
- Develop proactive compliance tools.
- Maintain required registrations and filings, written supervisory policies and procedures manual.
- Ability to build strong relationships and interact effectively with all levels of the organization.
- Excellent verbal and written communication skills.
- Detail-oriented, flexible and proactive in all areas of responsibility.
- Ability to identify and analyze compliance issues.
- Knowledge of the Investment Advisers Act of 1940, SEC and FINRA rules, compliance policies, procedures and best practices.
- Ability to ensure that quality control (transactional) testing is conducted as appropriate to detect deviations of actual transactions from policies or standards.
- Ability to manage the advisor's Code of Ethics.
- Ability to develop effective compliance systems and workflows.
- Ability to function collaboratively and provide leadership and direction on compliance issues.
- Ability to formulate and implement company compliance strategies.
- Advanced PC skills and experience with Microsoft Office applications.
- Ability to prioritize work and handle multiple tasks simultaneously in fast paced environment.
- Strong knowledge of The Investment Advisers Act of 1940 (Advisers Act), current SEC and other rules and regulations governing investment advisors.
- Bachelor's Degree in Business, Finance, Compliance or related field. Minimum of 7 years of related experience at an RIA.
- Experience implementing and monitoring compliance policies and procedures. Experience dealing with SEC regulatory examinations.
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