Central Compliance Coordinator

  • Base salary, bonus and excellent benefits.
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 15 Feb 19

Responsible for coordinating several key GM-CO processes supporting employee conduct and behavioral policies and procedures, and act as registrations coordinator for the region.

• Administer the FINRA registration requirements for the region in support of the CCO of our Broker-Dealer including the requirements related to onboarding/off-boarding of reps, tracking the number of registered reps, preparing any required reporting, and notifying reps of training/educational requirements
• Coordinating the Personal Account Dealing requirements for the region, including but not limited to managing the workflow within the Personal Trading Approval system; escalating any identified policy breaches for Markets Compliance for investigation;  and reports on employee trading activity and watchouts
• Coordinates the process for tracking, assessing and r eporting on e mployee Outside Business Activities
• Supports the process and reporting related to employee Gifts and Entertainment activities
• Provide support as needed to compliance training, including coordinating training session, assisting with content development, assisting with tracking and follow-up activities, and preparing any related reporting.
• Special projects as required
 

 

~~Experience/Qualifications/Education:
• Bachelor’s degree or equivalent work experience required
• Strong communication and presentation skills, both verbal and written
• Ability to interface effectively with all levels of management
• Strong attention to detail with a pro-active approach to solving and preventing problems by exercising discretion and independent judgment
• Ability to operate effectively in a matrix managed international organization with multiple reporting lines
• Previous experience with FINRA/CRD preferred
• Ability to work under pressure/deadlines and independently manage multiple priorities with limited supervision or direction
• Series 7 or other registrations a plus
• Experience with Sharepoint a plus