Role details

Compliance Officer

Jersey City   •  Permanent

Bullet points

  • Compliance officer opportunity with a global market leader
  • Opportunity to work with a premier institutions compliance products

About Our Client

A world premier voice and electronic interdealer broker and the source of global market information and commentary for professionals in the international financial markets. The Group is active in the wholesale markets in interest rates, credit, commodities, foreign exchange and equity derivatives.

Job Description

  • Ability to develop, initiate, maintain and revise compliance policies and procedures
  • Management of significant regulatory exams and routing regulatory meetings
  • Manage FINRA Form BD changes for the broker dealer
  • Assist with new hire orientation and implementation of compliance program for new hires.
  • Manage the account opening procedures for broker dealer entities-dealing with CIP, KYC, AML issues
  • Collaborate with other departments as well as the business and infrastructure teams when necessary regarding particular/customer issues
  • Receive, log and answer regulatory inquiries as needed
  • Interact with different business lines and control functions including Operations, IT, Legal, and commercial managers
  • Ability to identify and collate key compliance MI reporting for relevant governance committees
  • Work proactively with the other compliance product support staff and work to function as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization

The Successful Applicant

  • Knowledge of fixed income, equity and/or futures products
  • Strong interest in understanding the business models and operational processes underlying the products described above with the ability to handle special projects and reviews on an as needed basis
  • Risk focused, good written and oral communication skills
  • Strong organizational and project management skills
  • Must be able to manage multiple tasks simultaneously
  • Candidate should have a strong desire to learn and follow through with issues
  • Must be a team player, work well with others
  • College degree required
  • Minimum 5 year compliance experience

What's on Offer

Competitive market salary with benefits.

Apply for this job

Click the Apply or LinkedIn button below or contact John Laurine quoting job reference 1212233
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