Vice President, Head of Compliance Control Room - Wedbush Securities

Wedbush Securities is one of the largest full-service investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. We are currently seeking a Vice President, Head of Compliance Control Room, who will oversee controls designed to mitigate conflicts of interest, protect confidential information, and preserve the integrity of the firm’s information barriers. The position can be based in either Los Angeles or New York City.

Responsibilities include, but are not limited to:

• Analyze data and derive insights and risk indicators with the help of business intelligence tools
• Assist in implementing information barrier policies and procedures by maintaining the watch and restricted lists, deal lists and handling conflicts clearance
• Monitor employee personal trading and electronic communications and perform periodic compliance testing/surveillance
• Monitor employee gift & entertainment, political contributions, and outside business activities
• Communicate with Sales, Trading, Research, Investment Banking personnel regarding specific firm transactions and compliance related issues
• Participate in the drafting of compliance related policies and procedures, making recommendations to develop or enhance business unit procedures as they relate to Compliance Control Room (CCR)
• Act as the gatekeeper and chaperone with respect to permitted conversations between the restricted groups of employees and potential compliance issues arising out of monitored interactions
• Respond to compliance related questions from management and staff
• Assist in keeping the CCR current on relevant regulatory changes
• Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; perform and/or oversee information for compliance reporting to management
• Develop, coordinate and deliver initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies
• Analyze and report relevant risk indicators to assist in identifying and remediating emerging compliance risks
• Manage multiple deadline-oriented tasks in a fast-paced environment
• Respond to regulatory inquiries, interacting with regulatory examiners and internal auditors, and provide advice and guidance to business partners
• Perform other duties as required and assigned

• Bachelor's Degree from an accredited university
• 10+ years experience at a registered broker-dealer, investment manager, or US bank
• Series 7, 24 required; Series 79 preferred
• Solid understanding of the nature of protection of information, in particular managing confidential and material non-public information
• Understanding of FINRA, SEC and other regulatory requirements pertaining to research, investment banking and mitigation of conflicts
• Manage controls to prevent and detect insider trading by employees
• Highly organized with the ability to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
• High levels of ethics, integrity and judgment
• Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization
• Extremely detail-oriented, strong analytical, problem-solving and critical-thinking skills
• Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
• Self-starter with the ability to work independently with minimal supervision as well as within a fast-paced team environment

What Wedbush Offers You

As part of the overall compensation package, Wedbush Securities (WS) offers an array of diverse benefits to our Colleagues.

• Comprehensive medical, dental, and vision coverage with multiple health plan options
• Health Savings Account (HSA) with company-sponsored contributions
• Flexible Spending Accounts (FSA) traditional and dependent care
• Pre-Tax Commuter Benefits
• 401(k) Plan: competitive discretionary company matching and profit-sharing contributions
• Tuition reimbursement ($5,250 max per year)
• Paid Sick Time, Holidays, Volunteer Time Off
• Paid Leave: Parental Bonding, Jury Duty, Military, Disability, etc.
• FINRA and Professional License Sponsorship
• Charitable Donation Matching Contributions
• Travel & Employee Assistance and Employee Discount Programs
• Discretionary compensation based on the colleague's and the firm's performance

Applications will be accepted until the position is filled. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to location; skill sets; experience and training; licensure and certifications; and other business and organizational needs. A reasonable estimate of the current hiring range is $145,000-165,000.

At Wedbush, we recognize that a diverse and inclusive workforce drives innovation, results in higher Colleague satisfaction, fosters superior client service, and adds meaningful value for stakeholders. WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm and provided equal opportunities to succeed.

Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities here https://www.e-verify.gov/employees/e-verify-overview