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- A compliance opportunity with a premier global asset management firm
- Opportunity to utilize compliance skillset with a top tier financial institution
About Our Client
A premier global asset management firm.
- Develop an understanding of the business lines and the related compliance issues and provide advice to the business on a variety of issues.
- Coordinate with the compliance department with respect to certain conflicts issues, including pre-deal conflict checks.
- Provide compliance coverage for all other conflicts of interest, including employee trading, outside business interests, gifts and entertainment (including providing certain pre-approvals and conducting certain surveillance for each).
- Analyze relevant laws and regulation and determine applicability to the business, in coordination with the compliance department or counsel.
- Manage broker dealer registration, continuing education (regulatory element), and filing requirements for the broker dealer and its registered representatives.
- Draft, update and implement policies and procedures as needed.
- Develop and provide appropriate compliance training for all employees in accordance with a needs analysis and training plan.
- Handle regulatory reviews and inquiries and coordinate responses as needed.
- Manage NY and Houston office inspections.
- Conduct an annual broker dealer review and report and handle the annual CEO certification, all in accordance with FINRA rules.
- Assist AML compliance with onboarding and vetting of clients in accordance with AML program.
- Provide guidance with respect to the firms supervision framework.
- Conduct email communication reviews in accordance with firm policies.
- Manage any customer complaints.
The Successful Applicant
- 4-6 years of compliance or other relevant working experience recommended.
- Compliance experience in a banking/broker dealer environment.
- Basic knowledge of FINRA rules and SEC regulation.
- BA degree or experience in finance/banking preferred.
- Demonstrated ability to work with various departments and to coordinate projects efficiently.
- Ability to work effectively in a team environment.
- Ability to work independently while understanding when to involve other groups or team members.
What's on Offer
Competitive market salary with benefits.