Compliance Manager
: Job Details :

We are working on a new Compliance Manager role with a Broker-Dealer client in lower Manhattan. Our client is a full-service, integrated financial services firm that provides investment guidance for high-net-worth individuals and institutions. The position is an add to staff as the firm continues to grow.

Responsibilities:

• Advise and provide support to relevant business units on compliance issues specific to account onboarding and trading of institutional and entity accounts.
• Oversight of investment banking, capital markets and institutional business activities
• including, but not limited to , regulatory filings (e.g. Reg M, 5123), Rule 606, etc. Ensure company procedures are being followed.
• Review policies and procedures to ensure compliance with relevant rules & regulations. Recommend changes to the CCO.
• Serve as back up to other compliance staff in their absence (e.g., AML review, U4
• updates, foreign and domestic retail accounts etc).
• Respond to regulatory (e.g. 8210, cause exams), due diligence questionnaires and independent audit requests
• Assist in the review of electronic communications to ensure that all regulatory and
• internal communication policies are adhered to.
• Assist in other matters as requested by the CCO.

Required Qualifications:

• FINRA Series 7 and 24 Preferred
• 5+ years experience working in Broker-Dealer Compliance
• In office daily

If you meet the required qualifications and are interested in this role, please apply today.

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