Chief Compliance Officer at DOWLING CORPORATION

Farmington, Connecticut, United States -

Full Time

Start Date

Immediate

Expiry Date

11 May, 26

Salary

0.0

Posted On

10 Feb, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Regulatory Compliance, Financial Crimes Compliance, KYC, BSA, AML, OFAC, Risk Identification, Corrective Action Planning, Compliance Monitoring, Regulatory Interpretation, Policy Implementation, Compliance Audit Testing, External Audit Management, Risk Analysis Reporting, Compliance Training Development, SEC Regulations

Industry

Financial Services

Description

Description Dowling & Partners, LLC is a boutique equity research firm and full-service broker-dealer that focuses exclusively on the insurance industry. We provide our institutional clients with equity research, equity sales, trading, and capital market services. The company is located in Farmington, CT. Our team comprises of seasoned professionals with extensive industry expertise and a keen focus on providing value-added insight and service to our clients. With emphasis on long-term value creation and fundamental analysis, we are proud to have earned a reputation as the preeminent provider of insurance research. We have consistently been recognized as the top-rated insurance research provider and industry source. Why should you join our Dowling team? Because this is where talent meets opportunity! Company Benefits and Perks: Medical, Dental, and Vision Insurance (Premium cost sharing between the company and employee) Health Savings Contribution by the Company to your account Company Paid Basic Life Insurance, AD&D, and Long Term Disability Insurance Enrolled in our 401 (k) plan immediately upon hire Eligibility to participate in the company's ESOP plan after 1 year of employment Reimbursement for select gym and fitness memberships Unlimited PTO On-site Golf Simulator On-site Coffee/Snacks/Beverages Lunch is provided daily Bonus Program What the role of the Chief Compliance Officer looks like: Manage and provide strategic guidance and representation to the company and company leadership on local, state, and federal governmental requirements for financial institutions, including but not limited to KYC, BSA, AML, and OFAC. Act as direct supervisor of the company’s Regulatory Compliance and Financial Crimes Compliance. Identify potential areas of compliance vulnerability and risk; Develop corrective action plans for resolution of any identified issues, and provide general guidance for the avoidance of similar situations in the future; Monitor and coordinate compliance activities of other departments to remain informed of the status of all compliance activities and to identify trends. Interpret current and evolving state and federal laws and regulations related to money services businesses, money transmitters, and lenders. Implement compliant policies and procedures, and determine the regulatory requirements of new financial offerings by the company. Develop and implement compliance audit testing. Manage external audits and remediations. Collaborate with other departments as needed to ensure compliance issues are addressed, investigated, resolved, and once resolved, continually adhered to in practice. Oversee internal compliance reviews and manage outside auditors, as needed. Participate with other stakeholders in the generation of risk analysis reports. Work with Human Resources to develop effective compliance training programs, including appropriate introductory training for new employees as well as ongoing training for all employees and managers. Provide reports to senior management and the Board of Directors regarding the operation and progress of compliance efforts. This is an in-office role (75% in the office, 25% travel to Branch Offices). Requirements Bachelor’s degree required Series 14 and 24 required 3+ years of equity compliance experience with an investment bank or U.S. broker-dealer In-depth knowledge of SRO and SEC regulations Experience dealing with examinations, audits, and regulatory inquiries Knowledge of equity products and the ability to multitask in a deadline-driven environment

Responsibilities

The Chief Compliance Officer will manage and provide strategic guidance on local, state, and federal governmental requirements for financial institutions, including KYC, BSA, AML, and OFAC, while supervising Regulatory Compliance and Financial Crimes Compliance teams. This role involves identifying compliance vulnerabilities, developing corrective action plans, interpreting evolving regulations, and overseeing internal and external compliance audits.