Compliance Officer
3 days ago
Hi,
The job responsibilities and requirements are as follows
(Direct Hire/Fulltime Job with Benefits) in NYC, NY.
Responsibilities:
Focus on Specialization: Broker-Dealer, FINRA Series 7, 24, 14, 53, and/or 79.
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 are 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.
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 able 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.
Regards,
Carl Rush
iStaff Global Solutions Inc.
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