Job

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 c.duenas@hamlynwilliams.com

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