Role details

Senior Compliance Officer

New York   •  Permanent

Bullet points

  • Senior Compliance Officer
  • Broker/Dealer

About Our Client

International Broker Dealer with office's in New York, and other global locations.

Job Description

  • Advisory compliance for all products on the trading floor.
  • Keep up to date with new regulations.
  • Review research reports and sales notes to be with in compliance with regulatory bodies.
  • Assist the Chief Compliance Officer in creating and conducting annual training, which will include BSA/AML.
  • Provide compliance support for all new products/strategies.
  • Maintain and create new relationships with regulators.
  • Monitor trade activity for institutional equity, equity derivatives, and fixed income desks.

The Successful Applicant

  • Series 7 and 24.
  • Bachelor's Degree.
  • 10-12 years of experience.
  • 15(a)(6) experience.
  • Strong Broker Dealer background.
  • Expertise with FINRA/SEC/CFTC rules.
  • Familiar with reporting systems such as OATS, and Trace.
  • Strong knowledge of on-boarding, and AML Surveillance.

What's on Offer

You will be contacted if your experience is in line with the role.

Apply for this job

Click the Apply or LinkedIn button below or contact Connor O'Neil quoting job reference 1196398
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