Job Description

Job Description

Job Description

Broker Dealer Compliance Officer Opportunity

New York-based boutique broker-dealer and wealth management firm looking for a compliance professional to assist the Chief Compliance Officer with the day-to-day compliance duties of the firm. What we are looking for:

• 2-5 years of broker-dealer compliance experience
• Equity capital markets and/or investment banking experience
• FINRA Series 7 and 24 license required. Series 14, 53, and/or 79 is a plus
• Deep working knowledge of FINRA’s Gateway program
• Experience assisting with drafting and maintaining written supervisory procedures
• Experience assisting with regulatory inquiries and responses
• Deep knowledge and understanding of FINRA and SEC broker-dealer compliance rules and regulations
• Proficiency with Microsoft Office tools, particularly Excel, and compliance tools such as My Compliance Office, Quest CE, Global Relay, and others
• Well-organized with the ability to prioritize workload to complete tasks
• Strong communication and interpersonal skills, collaborative by nature
• Attention to detail and problem-solving ability

NYC-based, 5-days per week in-office

Full Job Description

The compliance team of a New York-based boutique broker-dealer and wealth management firm is in search of a Compliance Officer to join their rapidly growing firm. The candidate will report to the firm’s Chief Compliance Officer and will be involved in the daily compliance activities of the firm. The position requires partnership with other key departments of the firm including the operations team, investment banking, and finance. Other key partners include Information Technology, the onboarding team, and our regulators. The candidate will be integrally involved with the front-line business teams to ensure they are aware of and follow the compliance rules and regulations of a U.S. broker-dealer and ensure the firm stays in continuous compliance with regulatory requirements.

Key Tasks

• Manage all FINRA Gateway related items, including registrations, responses, Form U4, Form U5, monitoring of FINRA reports, handling regulatory filings
• Assist the Chief Compliance Officer with the following:
  • Drafting and maintaining the firm’s written supervisory procedures
  • Ensuring all risks and controls are appropriately embedded and continuously reviewed within the appropriate systems
  • Supervising and managing requirements related to the personal accounts of the firm’s associated persons, trade pre-clearance, outside business activities, and conflicts of interest disclosures
  • Updating and filing regulatory reports on an annual, periodic, or ad hoc basis, and assisting with registration and licensing requirements of registered persons and the firm, including continuing education requirements (i.e. Form BD, Form U4, Form U5, Firm and Regulatory Element CE)
  • Updating the firm’s restricted list
  • Performing daily communications reviews in Global Relay; AML-related reviews such as FinCEN, OFAC
  • Monitoring compliance applications for employee personal account dealings, employee trading, outside business activities, private securities transactions, conflict of interest management, charitable contributions, gifts and entertainment, annual certifications, political donations, etc.
  • Review of marketing materials and communications with the public
  • Provide support and execution to all ad hoc projects assigned by the Chief Compliance Officer

Education and Experience

• 2-5 years of validated experience in broker-dealer compliance
• FINRA Series 7 and 24 license required. Series 14 or 53 is a plus
• BS or BA degree required

Key Skills and Knowledge

• Deep knowledge and understanding of FINRA, SEC, MSRB, state and other regulations of a broker-dealer
• Knowledge of private securities transactions, investment banking, wealth management
• Strong analytical skills and ability to problem solve in a dynamic, highly regulated environment
• Detail oriented and ability to manage and multi-task
• Proficient with technical applications such as Microsoft Excel and compliance software
• Effective written and verbal communication skills
• High standard of professionalism and discretion while working with sensitive information

Job Tags

Similar Jobs