Job summary
Job post source
This job is directly from Bessemer Trust
Job overview
The Senior Compliance Manager at Bessemer Trust oversees Broker-Dealer and Core Compliance Programs, ensuring regulatory adherence and supporting the compliance team to maintain high standards within the company.
Responsibilities and impact
The role involves managing compliance programs, overseeing team members, conducting inspections, maintaining electronic communications review, managing employee trading and outside activities, preparing reports, assisting in regulatory exams, and enforcing policies.
Compensation and benefits
The position offers a base salary range of $175,000 to $240,000 with discretionary bonuses, a 401(k) plan with profit-sharing, comprehensive medical, dental, vision plans, life insurance, disability coverage, paid time off, parental leave, and a hybrid work environment.
Experience and skills
Candidates need a bachelor's degree, 10+ years in broker-dealer compliance, Series 7 and 24 licenses, strong knowledge of FINRA and SEC regulations, and preferred skills in MyComplianceOffice and GlobalRelay.
Career development
The company provides personalized development and career opportunities including tuition reimbursement support.
Work environment and culture
Bessemer Trust values a fiduciary mindset, client-first approach, collaboration, diversity, and inclusion, with a hybrid work model of 60% in-office and 40% remote work.
Company information
Bessemer Trust is a family office managing over $200 billion in assets, founded in 1907, privately owned by the Phipps family, with 22 offices including a major presence in New York and Woodbridge, NJ.
Team overview
The candidate will join the Compliance team, assisting in managing compliance programs and overseeing team members.
Job location and travel
The company is headquartered in New York’s Rockefeller Center with a significant office in Woodbridge, NJ, offering a hybrid work environment.
Unique job features
The role includes managing key compliance programs, regulatory reporting, and interaction with FINRA exams, with access to advanced compliance tools and a leadership role in compliance management.
Company overview
Bessemer Trust is a privately-owned wealth management and investment advisory firm that specializes in providing comprehensive financial services to high-net-worth individuals and families. The company generates revenue through asset management fees, financial planning, and fiduciary services. Founded in 1907 by Henry Phipps, a co-founder of Carnegie Steel, Bessemer Trust has a long history of managing significant family fortunes and offers a range of services including estate planning, tax advice, and philanthropic guidance. The firm is known for its personalized approach and commitment to client confidentiality and long-term financial security.
How to land this job
Position your resume to highlight your extensive experience in broker-dealer and core compliance management, emphasizing your knowledge of FINRA and SEC regulations as well as your leadership in compliance teams.
Focus on showcasing your skills in managing compliance programs, conducting branch office inspections, handling electronic communications surveillance, and overseeing employee personal trading and licensing requirements.
Apply through multiple channels including Bessemer Trust's official corporate careers page and LinkedIn to maximize your application visibility and ensure your resume reaches the right recruiters.
Connect with current compliance team members or managers at Bessemer Trust on LinkedIn; use ice breakers such as commenting on recent regulatory changes impacting broker-dealers or asking about their experience with Bessemer’s compliance culture and training programs.
Optimize your resume for ATS systems by incorporating keywords from the job description like 'Broker-Dealer Compliance,' 'FINRA regulations,' 'SEC compliance,' 'electronic communications review,' 'Form U4/U5,' and 'MyComplianceOffice' to improve your chances of passing automated screenings.
Leverage Jennie Johnson's Power Apply feature to automate your tailored applications across multiple platforms, identify and connect with relevant Bessemer Trust contacts on LinkedIn, and optimize your resume for ATS, allowing you to focus more on interview preparation and networking.
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