The Ethics Office Service Manager is responsible for developing the processes and technology to deliver a high level of service to all Company employees, including developing team members through coaching and performance management to provide superior service. This Service Manager will lead a team of Ethics Office staff members supporting various employee service related tasks, including Service Line inquiries, pre-clearance requests, employee compliance with outstanding Ethics Office obligations, development of policies and procedures, managing Orchestria escalations, and collaborating with the Director and other Ethics Office staff to set priorities for the team.

Job Description:

The Ethics Office Service Manager will perform all or some of the following Job description:

• Manage, develop and implement processes that ensure accurate and timely compliance guidance to employees, registered representatives, and potential hires on policies overseen by the Ethics Office

• Demonstrate good judgment in determining how to apply these policies and procedures to specific situations

• Handle escalated non-routine inquiries and exception requests from employees at all levels

• Interact with Company management on regulatory, policy matters, and potential violations

• Collaborate with team members and Ethics Office management and staff to improve the Ethics Office's compliance procedures and processes and education materials

• Oversee the Team's response to employee inquiries made via the Ethics Office Service Line and Ethics Office E-Mail Box

• Develop and implement a customer service model for the Ethics Service Team to improve efficiencies and shorten response times

• Review and implement supporting service technology

• Develop and maintain required policies and procedures and related documentation

• Manage, provide leadership, and direct 3-5 staff members

• Provide coaching, performance feedback and oversight to team members through development planning, training and leadership

• Monitor company/industry trends and regulatory developments to recognize, assess and report regulatory concerns and potential areas of exposure to senior management. Incorporate solutions to emerging issues

• Stay abreast of relevant changes in the industry, new regulations, and changes to Company's businesses to proactively recommend changes to policies, procedures, processes and supporting technology

• Influence business partners to implement changes in policies and to embrace new compliance initiatives

• Actively lead the development and implementation of systems strategy/work for the team/department

• Independently resolve high profile, escalated compliance issues.  

Minimum Requirements / Knowledge / Skill For Ethics Office Service Manager Job

• High level of integrity and professionalism
• Self-starter who is confident, assertive, and able to work independently and in a team environment
• Demonstrated leadership and motivational skills
• Sound decision-making ability and risk management skills
• Ability to manage multiple priorities simultaneously
• Strong interpersonal skills, problem solving and analytical skills, and the ability to be flexible and effective in a fast-paced, changing environment
• Strong written and oral communication skills, detail-oriented and organized
• Working knowledge of the FBSI and/or AS400 trading system a plus
• 2-4 years management experience in compliance, securities, audit or financial services field
• Familiarity with relevant aspects of the Investment Company Act of 1940, FINRA and related regulations desired
• Strong understanding of securities (including stocks, bonds, mutual funds, options, ETFs); trading experience a plus
• Proficient in MS Access and Excel.