Senior Compliance Officer

3 weeks ago


Greenwich, United States Larson Maddox Full time

A global investment firm in NYC is looking for a Senior Compliance Officer to join their team. The Senior Compliance Officer will work alongside the Chief Compliance Officer to oversee the firm's public markets trading compliance program. This role will be performed on a hybrid schedule.Responsibilities :Manage firm's compliance testing programAdminister firm's compliance policies and proceduresAdminister Code of EthicsReview employee request approvals including gifts and entertainment, outside business activities and political contributions.Manager personal trade reviewsRequirements7+ years of relevant compliance experienceBachelor's Degree required, JD a plusExperience and knowledge of securities actsKnowledge of SEC, CFTC & NFA rules and regulations**Compensation will depend on YOE#J-18808-Ljbffr

by Jobble



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