A financial services firm is seeking an experienced professional to join their growing team as a Compliance Associate Director.
Responsibilities :
- Work closely on compliance matters with client personnel
- Assist broker-dealer clients through regulatory examinations and respond to regulatory inquiries
- Advise clients regarding compliant business practices
- Write, edit, and maintain procedures manuals including WSPs, AML Programs, Training Plans, etc.
- Deliver annual compliance meetings
- Serve as registered Chief Compliance Officer for firm's broker-dealer clients in limited circumstances
- Perform other duties as needed
Qualifications :
- Bachelor's degree in related field
- 5+ years relevant experience in BD regulatory compliance
- Detailed knowledge of FINRA rules, SEC Regulations and BD compliance
- Series 7 & 24 licensed
- with FINRA within 3 months of hire
- Ability to work independently, multi-task, manage projects and time effectively
- Strong understanding of the investment banking and institutional brokerage business
Desired Skills :
- Knowledge of Trading Desk compliance
- Knowledge of the Investment Advisors Act of 1940
Reference # 501469
Associate Director Quality Compliance
A company is looking for an Associate Director, Clinical Operations - Quality & Compliance. ...
Vice President, Broker-Dealer Private Side Compliance Advisory
President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance, IT Risk and Trainingcommittees...
Broker Dealer Compliance Associate Director
A financial services firm is seeking an experienced professional to join their growing team as a Compliance Associate Director. Serve as registered Chief Compliance Officer for firm's broker-dealer clients in limited circumstances. Assist broker-dealer clients through regulatory examinations and res...
Broker/Dealer Compliance Officer
LLC (“SWS” or the “Firm”) (a FINRA-registered broker/dealer) is seeking to add a knowledgeable, driven, intellectually curious and experienced compliance professional to the team led by the Chief Compliance Officer. At least 7 years working for a broker-dealer, with at least 5 years of compliance ex...
Associate Director/Director (Compliance Consulting)
Are you currently in a Senior Investment Advisor Compliance role at a hedge fund, PE firm, or consulting firm? Our client is seeking an experienced Associate Director/Director to join their compliance team in New York City. Job Overview - Associate Director/Director (Compliance Consulting):. Respons...
Vice President, Broker-Dealer Private Side Compliance Advisory
President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance, IT Risk and Training committee...
Director of Broker Dealer Compliance
Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!. Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment products. Support Chief Complian...
Associate Director, Student Health Compliance and Administrative Operations
Must include experience managing and/or directing health care compliance and/or general compliance (i. Manage key compliance and administrative operations functions of the Student Health Center (SHC). Oversee compliance and enforcement of state immunization mandates health information management/med...
Vice President, Broker-Dealer Private Side Compliance Advisory
President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance, IT Risk and Training committee...
Senior Director, Associate General Counsel of Compliance
We are seeking a Senior Director – Associate General Counsel of Compliance to join our team. Reporting directly to the Chief Compliance Officer, you will collaborate with the CCO and other senior leadership to design and implement a successful global compliance program across many business units, fu...