New York, NY OR Chicago, IL
140,000 - 155,000
3 months ago
We have partnered with a New York / Chicago-based broker-dealer who is looking for a compliance officer to build out their growing team.
What you'll be doing:
- On-board institutional clients and counterparties, including KYC and annual account maintenance.
- Assist with the draft and maintenance of institutional client policies and account disclosures.
- Maintain and update the Firm’s database of existing institutional clients and prospective clients.
- Manage FINRA CRD, including the Firm’s BD license, individual U4 registrations, and exchange memberships.
- Perform daily and routine surveillance reviews involving the Firm’s trading activity and regulatory requirements.
- Work with Trading and Development to ensure the Firm’s compliance report suite is current and accurate.
- Work closely with the Firm’s Operations and Finance Teams to streamline processes and assist with complex projects, when required.
- Assist with the maintenance and expansion of the Firm’s Written Supervisory Procedures and related records and surveillance.
- Review existing compliance practices against regulatory requirements and industry best practices.
What they're looking for:
- 2-5 years of relevant work experience with a trading firm, regulator, or exchange
- Experience with the compliance administration of an institutional client business
- Written and verbal experience facing institutional clients
- Bachelor’s degree in relevant field
- Exceptional written and verbal communication skills
- Basic knowledge of SEC, FINRA, CFTC, SRO rules and regulations
- Outstanding organizational skills and strong attention to detail in a fast-paced environment
- Ability to work and succeed independently as well as in a team environment
- Experience with Microsoft Office products
- Series 7 (or ability to obtain within 90 days of employment)
For more information contact Connor Duenas at Hamlyn Williams at email@example.com