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Broker Dealer Compliance Associate Director

2 months ago

New York, United States Tandym Group Full time
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