AVP, Compliance

Job DescriptionWedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Investment Banking & Capital Markets, and Multi Asset Clearing and Prime services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.Our team is looking for an AVP, Compliance. This role helps maintain and strengthen the firm's regulatory compliance program through risk assessments, remediation support, and regulatory coordination.Responsibilities include, but are not limited to:Execute regulatory risk assessments for broker-dealer and investment adviser compliance programsPartner with the CCO to update and maintain the compliance framework, including procedures, supervisory controls, and job aidsDocument remediation efforts in collaboration with the advisory function through the Regulatory Remediation CommitteeCoordinate with Compliance Officers across business lines to address regulatory gaps and implement enhancementsRespond to state regulatory inquiries related to individual registration requestsManage the intake, processing, and submission of responses for regulatory examsLiaise between Compliance and Technology to fulfill regulatory data requestsMaintain compliance control inventories across all regulated entitiesSupport uplift and remediation projects with the CCO and Compliance Officers, ensuring consistent progress and documentationServe as a back-up for preparing and updating regulatory filings, including Form ADV, Form BD, and related submissionsPerform other duties as required and assignedExperience and SkillsBachelor's Degree from an accredited university requiredACAMS certified preferredMinimum 10 years experience at a registered broker-dealer, investment manager, or US bankSolid understanding of the nature of protection of information, in particular managing confidential and material non-public informationUnderstanding of FINRA, SEC and other regulatory requirementsProficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)Ability to manage controls to prevent and detect insider trading by employeesHighly organized with the ability to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiencyDemonstrates strong ethics, integrity, and sound judgmentExcellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organizationExtremely detail-oriented, strong analytical, problem-solving and critical-thinking skillsSelf-starter able to work independently with minimal supervision as well as within a fast-paced team environmentJob BenefitsAs part of our overall compensation package, Wedbush Securities offers an array of diverse benefits to all our colleagues. We believe that providing competitive benefit options yields the advantageous reward of establishing a healthy and inclusive foundational work culture.Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your familyHealth Savings Account with company-sponsored contributionsFlexible Spending Accounts (FSA) traditional and dependent carePre-Tax Commuter Benefits401(k) plan with discretionary, competitive company matching and profit-sharing contributionsTuition reimbursement up to $5,250/year3 weeks of Paid Time Off2 weeks of Paid Sick Time (may vary by location)10 Paid HolidaysCharitable Donation Matching ContributionsPaid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)FINRA License SponsorshipTravel & Employee Assistance and Employee Discount ProgramsThe reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $100,000 to $140,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance. At Wedbush, it is not typical for an individual to be hired at, or near, the top of the range for their role. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.Wedbush Securities (WS) is proud to be an Equal Employment Opportunity employer. WS does not discriminate based on race, religion, color, creed, sex, sexual orientation, gender, gender identity or expression, national origin, ancestry, citizenship status, registered domestic partner status, uniform service member status, marital status, pregnancy, age, medical condition, disability, genetic information, family care or medical leave status, or any other consideration made unlawful by applicable federal, state, or local laws, or on the basis that an applicant or Colleague is perceived to have these characteristics or is associated with someone who is perceived to have these characteristics. WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm as well as 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