Apply Now

Compliance Manager, Surveillance & Regulatory Exams

Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America Req #29
Friday, August 16, 2019
Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.  We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

Reporting to the Chief Compliance Officer (CCO), this critical role will be responsible for overseeing the firm’s surveillance programs as well as coordination of the Firm's regulatory exam program.  This role will involve managing a team of compliance professionals responsible for creating, implementing, and maintaining the company’s strategy on transaction surveillance and AML compliance.  This role will have significant exposure to senior business leaders across the organization, and work closely with Private Client Group (PCG) and Capital Markets (CM) Compliance leaders to determine risks and action plans to create and implement policies and procedures to assure consistency across the organization.  

Responsibilities include managing the following key functions:

  • Retail Surveillance – This group conducts routine surveillance of retail trading activity for adherence to FINRA rules and company policy with a focus on top down surveillance to become more proactive in the current regulatory environment.  The group also provides various reviews, trend analysis and monitoring of firm-wide trading and other activities.   
  • Compliance Information Systems – This group is responsible for the management of retail compliance-based information systems and their optimization and integration into core business back office technologies.  This group provides project management oversight and supervision for key PCG Compliance-based technology initiatives and liaises interdepartmentally to ensure compliance and regulatory risks are addressed and escalated appropriately.
  • Regulatory Examinations – coordinate the Firm’s response to sales practice and other regulatory exams.
  • Will serve on various firm-wide committees and projects and act as lead policy writer for the Compliance department.


Required Skills:

  • Ability to lead a talented and diverse team of compliance professionals
  • Ability to build and maintain strategic partnerships with peers across all areas of the Firm, and with external partners and influencers (i.e.: auditors, regulators).
  • Ability to analyze data to examine trends and seek solutions
  • Solid understanding of various risk measurement and analytics, quantitative modeling and risk management techniques.
  • Ability the think strategically and operate on a tactical level simultaneously
  • Exceptional verbal and written communication skills and an ability to communicate at all levels of the organization.


Required Experience:

  • Minimum 10 years’ regulatory or brokerage experience in surveillance, branch supervision, and/or exam coordination
  • Minimum 5 years’ experience managing a team
  • Series 7, 24, 63 preferred
  • Extensive knowledge of broker-dealer products, including, but not limited to equities, options, fixed income, derivatives, and Investment Advisory Service
  • Extensive knowledge of technology used in broker-dealer and clearing firms focused on surveillance and monitoring
  • Extensive audit and controls expertise and the ability to support audit and examination inquiries
  • Experience in counseling senior management, crafting creative solutions, and integrating multiple business objectives

Janney is dedicated to promoting and supporting diversity within our workplace.  We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.

  • Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America