A financial services firm in New York City is currently seeking an experienced Compliance Consultant to join their growing team as their new Associate Director - Broker Dealer Compliance.
Responsibilities:
The Associate Director - Broker Dealer Compliance will:
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Work closely on compliance matters with client personnel
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Assist broker-dealer clients through regulatory examinations and respond to regulatory inquiries
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Advise clients regarding compliant business practices (sales, trading, banking, research, etc.)
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Write, edit, and maintain procedures manuals including WSPs, AML Programs, Training Plans, etc.
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Conduct Firm reviews and mock examinations
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Deliver annual compliance meetings
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Serve as registered Chief Compliance Officer for the firm's broker-dealer (BD) clients in limited circumstances
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Create BD and client relationships via networking with our clients and contacts
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Conduct branch office inspections
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Perform other duties, as needed
Qualifications
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5+ years relevant experience in Broker Dealer Regulatory Compliance
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Bachelor's Degree
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Detailed knowledge of FINRA rules and Broker Dealer Compliance
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Series 7 & 24 licensed required; or must be willing and able to obtain FINRA Series 7 & 24 registrations with FINRA within 1 year of hire
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Strong understanding of the Investment Banking and Institutional Brokerage business
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Solid analytical and research skills
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Great interpersonal skills
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Excellent communication skills (written and verbal)
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Strong attention to detail
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Highly organized
Desired Skills:
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Knowledge of the Investment Advisors Act of 1940