Northland Senior Compliance Officer

Northland Securities•Minneapolis, MN

4d•Onsite

About The Position

Senior Compliance Officer – Fixed Income Capital Markets focused role within the Compliance Department. This role will support the firm compliance program to ensure employees and Northland comply with industry regulations and company policies. General areas of focus will relate to the compliance regulations and obligations within the Fixed Income Capital Markets space. The ideal candidate will have an established understanding of broker-dealer FINRA, SEC and MSRB regulations and compliance requirements.

Requirements

Sufficient working knowledge of rules and regulations related to broker/dealer SEC, MSRB, FINRA and State Rules and Regulations
Minimum of 5 years in supervisory or compliance role in the financial services industry, preferably at a broker-dealer
Ability to understand legal and regulatory rules and procedure documents, and implement procedures and practical solutions
Exercise sound judgment with an understanding of effective escalation of risk
Have strong research, investigative, and critical thinking skills
Ability to develop and maintain strong working relationships
Comfortable managing multiple projects, strong ability to prioritize and meet deadlines
Strong verbal and written communication skills
Must be a self-starter and work independently with minimal oversight
Able to analyze quantities of data and spot patterns outside the norm, identifying when additional research is required and following it to a conclusion
Periodic travel required
College degree or comparable securities industry experience
SIE, Series 7 or 52, 63, 24 or 53 or Series 14
Candidates must possess unrestricted work authorization and not require future sponsorship.

Responsibilities

Develop, maintain and execute most aspects of onboarding and offboarding all Northland Fixed Income employees.
Manage activities relating to Northland conflicts of interest program, including the annual employee certification process, periodic attestations, social media, gifts and entertainment reporting, political contribution activities, outside business activities, and personal securities trading for employees in the Fixed Income Department
Participate in developing and delivering Northland’s training platform, which includes FINRA CE, Firm Element Continuing Education, Annual Compliance Meeting, AML training and other training as required for Fixed Income employees and supervisors.
Support and/or carry out various components of the compliance monitoring and testing program of the Fixed Income business units and branches to ensure policies and procedures are being followed, and prepare related findings and reports
Coordinating proper reporting channels for compliance issues.
Cultivate a strong partnership with the Fixed Income business line and other support function colleagues to ensure compliance is viewed as a trusted advisor and partner
Stay up to date of the ever-changing regulatory environment and actively participates in industry groups committed to assisting in and supporting the formulation of good regulation.
Serve as primary liaison with business line stakeholders and regulators for fixed income-related examinations.
Partner with the Fixed Income business line to develop, maintain and execute effective compliance policy and procedures designed to ensure the firm 's systems of supervision and control meet regulatory requirements and industry standards
Deter, identify, and remediate non-compliance with applicable firm policies, laws and regulations
Provide guidance on effective solution to detected problems and offer recommendations for corrective action as appropriate.
Educate the employee base through the development and use of comprehensive and understandable written policies, procedures, and training materials
Assist the Chief Compliance Officer on projects and additional duties as required