Role details

Junior Compliance Broker Dealer

New York   •  Permanent

Bullet points

  • Opportunity to join a major, global firm with unlimited growth potential
  • Competitive Compensation

About Our Client

My client is a global leader, focused in the insurance brokerage space, with operations across multiple business verticals including banking.

Job Description

You will be working along side the Chief Compliance Officer in order to ensure all regulations are being followed within the broker-dealer space. The role does not require the candidate to have prior experience of compliance or broker-dealer operations and systems, as training will be provided to the right candidate. However, prior experience is a plus. This is a role where you will gain experience in not only compliance but a multitude of other areas as you will be liaising with all departments within the firm.

The Successful Applicant

  • Manage the compliance monitoring risk assessment and testing process for Administration
  • Draft written reports of findings for presentation to the business
  • Monitor compliance with applicable US regulations and ensures consistent implementation for compliance and risk programs
  • Propose methods of testing and execute plans discussed and agreed with Management
  • Identify potential compliance risks, and effectively escalate to appropriate individuals
  • Leverage strong communication skills to interact with Compliance and business senior management
  • Team with colleagues around the globe to share findings and refine processes
  • Monitor and track legal and regulatory developments that may impact the business or clients, including new and revised laws and regulations, enforcement actions and other regulatory guidance.
  • Liaise with Compliance and other subject matter experts to determine appropriate action
  • Help ensure related initiatives are effectively implemented

What's on Offer

  • Full benefits: health, vision, dental, child care
  • Daily, catered lunch
  • Car and cell phone budget
  • 401(k)

Apply for this job

Click the Apply or LinkedIn button below or contact Michael Campagna quoting job reference 1215725
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