Compliance Policies & Project Manager

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.

The individual selected for this role will support strategic projects and assist in responding to regulatory exams and inquiries across the Compliance and Legal Departments.  The Compliance Policies and Project Manager will work with the Chief Compliance Officer and Deputy Chief Compliance Officer to structure and execute Compliance initiatives, draft and update the Firm’s Compliance policies, implement and improve the Firm’s compliance processes and procedures, assist in responding to regulatory inquiries and exams and lead certification processes on behalf of the Chief Compliance Officer. 

Scope:

Near term (2023-2024) projects include the following:

• Draft and update Firm policies and procedures
• Implementation of new Compliance management system
• Assist in responding to regulatory inquiries and exams from SROs, State and Federal Regulators
• Manage and lead certification processes on behalf of the Chief Compliance Office 

Responsibilities:

• Draft and update Firm policies and procedures
• Create and maintain Compliance project timelines
• Manage project task list; follow up with task owners to monitor project status
• Coordinate all project meetings
• Create project status dashboard; communicating project status and milestones with management teams
• Work with Senior Leadership to respond to regulatory exams and inquiries
• Create and execute testing plans 

What you have:

• Bachelor’s Degree or equivalent experience in operations/financial industry

• Superior writing, time management and organization skills. 
• Ability to manage multiple tasks, prioritizes, and meets tight deadlines.
• Technically proficient in Microsoft Word and Excel

• A self-starter with strong writing skills and ability to work independently.
• Good analytical and deduction ability with skills to dissect workflow into critical steps.
• Versatile with ability to deal with various constituents ranging from Senior Leadership to home office employees.
• Understanding of basic compliance functions.
• Ability to work under pressure and time commitments.
• Ability to manage deadlines and ensure project working groups are on schedule. 

Why work for us?

Benefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Paternal Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future. Explore further.

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. Fostering a positive workplace experience remains a top priority. We’ve earned the Great Place to Work® certification, which recognizes employers that create an outstanding employee experience. Based entirely on what current employees say about their experience working at Janney, this prestigious recognition underscores our commitment to our people and culture. People are our strongest asset. We recognize that when our team members thrive, our firm is more successful.

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.