Assistant Vice President, LSI Compliance North America

Overview Role supports the LSI broker‑dealer Chief Compliance Officer (CCO), providing FINRA regulatory support and compliance advisory to financial and capital markets businesses. Responsibilities include regulatory filings, employee trading and conflicts reviews, Control Room activities, communications surveillance, policy and WSP development, audit engagement, and front‑office training. Responsibilities Assist with disclosures and compliance reviews of personal account dealing, trade preclearance, outside business activities, private investments, and conflicts of interest. Prepare, update, and submit broker‑dealer regulatory filings (Forms BD, U4, U5) on an annual, periodic, or ad hoc basis; assist with registration, licensing, and continuing education for FINRA Associated Persons. Assist with Control Room activities and coordinate with UK colleagues to maintain Global Restricted and Watch Lists, manage Insider Lists, wall crossings, and related advisory matters. Perform daily reviews of electronic and voice communications for compliance surveillance and monitoring, escalating issues as appropriate. Assist with compliance orientations and front‑office training. Provide guidance related to communications, including unauthorized business communications and marketing materials. Draft, maintain, and update Compliance Policies, Procedures, and Written Supervisory Procedures (WSPs). Monitor regulatory changes, conduct horizon scanning, and participate in industry working groups to support FINRA and SEC compliance. Embed, document, and periodically review key risks and controls within relevant systems. Provide information to Compliance Quality Assurance and Internal Audit teams for reviews and remediation activities. Work closely with personnel across all levels of the firm’s business divisions to support day‑to‑day compliance activities. Education and Experience 3–5 years of validated experience at a broker‑dealer or FINRA‑registered firm. BA/BS degree required. Series 7 or 14 certification not required, but preferred. Key Skills and Knowledge Knowledge of FINRA regulatory compliance rules. Strong analytical skills and problem‑solving ability in a fast‑paced environment. Detail‑oriented with strong organizational skills. Ability to work independently and manage multiple tasks. Effective written and verbal communication skills. Proficiency in regulatory reporting and presentation tools (Excel, PowerPoint, FINRA Gateway, SEC EDGAR). High standard of professionalism and discretion when handling sensitive information. Salary $125,000 to $150,000. Providing equal employment opportunities to all applicants and employees without regard to any class protected by applicable law. Reasonable accommodations for qualified individuals with disabilities are available during the application process. #J-18808-Ljbffr Lloyds Bank plc