Job Title

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Investment Banking & Capital Markets, and Multi Asset Clearing and Prime services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.Our team is looking for an AVP, Compliance.This role helps maintain and strengthen the firm’s regulatory compliance program through risk assessments, remediation support, and regulatory coordination.Responsibilities include, but are not limited to: Execute regulatory risk assessments for broker?dealer and investment adviser compliance programs Partner with the CCO to update and maintain the compliance framework, including procedures, supervisory controls, and job aids Document remediation efforts in collaboration with the advisory function through the Regulatory Remediation Committee Coordinate with Compliance Officers across business lines to address regulatory gaps and implement enhancements Respond to state regulatory inquiries related to individual registration requests Manage the intake, processing, and submission of responses for regulatory exams Liaise between Compliance and Technology to fulfill regulatory data requests Maintain compliance control inventories across all regulated entities Support uplift and remediation projects with the CCO and Compliance Officers, ensuring consistent progress and documentation Serve as a back?up for preparing and updating regulatory filings, including Form ADV, Form BD, and related submissions Perform other duties as required and assigned Experience and Skills Bachelor's Degree from an accredited university required ACAMS certified preferred Minimum 10 years experience at a registered broker-dealer, investment manager, or US bank Solid understanding of the nature of protection of information, in particular managing confidential and material non-public information Understanding of FINRA, SEC and other regulatory requirements Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint) Ability to manage controls to prevent and detect insider trading by employees Highly organized with the ability to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency Demonstrates strong ethics, integrity, and sound judgment Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization Extremely detail-oriented, strong analytical, problem-solving and critical-thinking skills Self-starter able to work independently with minimal supervision as well as within a fast-paced team environment What We Offer As part of our overall compensation package, Wedbush Securities offers an array of diverse benefits to all our colleagues. We believe that providing competitive benefit options yields the advantageous reward of establishing a healthy and inclusive foundational work culture. Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your family Health Savings Account with company-sponsored contributions Flexible Spending Accounts (FSA) traditional and dependent care Pre-Tax Commuter Benefits 401(k) plan with discretionary, competitive company matching and profit-sharing contributions Tuition reimbursement up to $5,250/year 3 weeks of Paid Time Off 2 weeks of Paid Sick Time (may vary by location) 10 Paid Holidays Charitable Donation Matching Contributions Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.) FINRA License Sponsorship Travel & Employee Assistance and Employee Discount ProgramsThe reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $100,000 to $140,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance. At Wedbush, it is not typical for an individual to be hired at, or near, the top of the range for their role. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.Wedbush Securities (WS) is proud to be an Equal Employment Opportunity employer. WS does not discriminate based on race, religion, color, creed, sex, sexual orientation, gender, gender identity or expression, national origin, ancestry, citizenship status, registered domestic partner status, uniform service member status, marital status, pregnancy, age, medical condition, disability, genetic information, family care or medical leave status, or any other consideration made unlawful by applicable federal, state, or local laws, or on the basis that an applicant or Colleague is perceived to have these characteristics or is associated with someone who is perceived to have these characteristics. WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm as well as provided equal opportunities to succeed.Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities here position is subject to various laws or regulations that impose restrictions or prohibitions for employment with Wedbush due to criminal history. Those laws or regulations include but are not limited to, the following: Securities Exchange Act of 1934 (SEA) Rule 17a-3, et. seq,, Financial Industry Regulatory Authority ( FINRA ) Rule s 3110(e)