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Compliance Officer

2 months ago

new york city, United States iStaff Global Solutions Full time

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.