As a Manager in the Compliance department, this role is responsible for managing and advancing surveillance and oversight functions designed to mitigate legal, regulatory, operational, and reputational risk across securities and insurance distribution channels for the broker-dealer, registered investment adviser and insurance agency businesses. This role provides strategic direction, people leadership, and program oversight for complex surveillance reviews, risk identification, trend analysis, management reporting, regulatory support, and cross-functional initiatives that strengthen compliance with regulatory requirements, company policies, and sales practice standards.

Responsibilities

  • Manage compliance surveillance programs, including policies, procedures, methodologies, monitoring controls, risk indicators, reporting, and escalation processes designed to identify and mitigate conduct and sales practice risk.
  • Interpret FINRA, SEC, state insurance, and other regulatory rules and guidance to design, update, and enhance surveillance scenarios, analytics, procedures, and program controls.
  • Oversee risk-based surveillance and monitoring activities to identify regulatory, compliance, supervisory, and business conduct concerns; ensure reviews are timely, thorough, well-documented, and aligned with applicable standards.
  • Develop and present management reporting on surveillance activity, trends, findings, root causes, emerging risks, remediation status, and recommendations.
  • Manage support for regulatory examinations, audits, inquiries, internal reviews, and information requests, including documentation, analysis, responses, remediation tracking, and completion of commitments.
  • Collaborate with business partners, including Supervision, to evaluate surveillance results, support supervisory follow-up, align on remediation strategies, and strengthen oversight controls.
  • Serve as a liaison with third-party vendors and business partners on strategic initiatives including onboarding of new vendors and ongoing enhancements.
  • Manage the broker-dealer’s outside brokerage account surveillance program, including activity reviews, escalations, reporting, and coordination with supervisory and business partners.
  • Lead, coach, and develop team members by setting expectations, providing guidance and feedback, supporting quality assurance, and fostering accountability and continuous improvement.


Qualifications

  • Bachelor's degree in business, communications, finance or other relevant field, or equivalent and experience 
  • 5 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams.


Preferred Qualifications

  • 10 years of experience in securities/insurance compliance, suitability review, sales supervision, market conduct, investigations, risk management, financial services, banking, or a related field, including experience leading projects, programs, or teams.
  • FINRA Series 7 and 24, or other FINRA registrations required by assigned responsibilities.
  • Extensive knowledge and understanding of securities and advisory products, including applicable regulatory, supervisory, and sales practice requirements.
  • Strong leadership, judgment, critical thinking, analytical, investigative, and decision-making skills, with the ability to manage competing priorities and guide others through complex issues.
  • Ability to interpret regulatory requirements and company policies, translate requirements into practical program expectations, and drive implementation through communication, training, coaching, and collaboration.
  • Excellent written and verbal communication skills, including the ability to present complex issues, trends, risks, and recommendations to senior leaders, business partners, auditors, and regulators.
  • Excellent skills using Microsoft Office tools, specifically Excel and ability to create pivot tables
  • Advanced ability to leverage compliance, workflow, surveillance, case management, reporting, or document management systems to support program effectiveness. 
  • Experience with FIS Global surveillance software
  • Experience using AI to assist in data analytics or surveillance reviews.


Working Conditions

Working Conditions

  • Hybrid office environment (Tuesday, Wednesday, Thursday)
  • Locations: Denver, Cedar Rapids, Baltimore, Philadelphia

Compensation

The Salary for this position generally ranges between $100,000.00 - $115,000.00 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration, sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship.


This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.