Compliance Associate Compliance Associate …

Non-disclosed
in New York, NY
Permanent, Full time
Last application, 27 Jul 21
$80,000-$100,000
Non-disclosed
in New York, NY
Permanent, Full time
Last application, 27 Jul 21
$80,000-$100,000
Growing clearing broker dealer is looking for a strong compliance professional to join its team

Responsibilities

  • Assist in directing the firm regulatory priorities and compliance program
  • Conduct comprehensive internal compliance reviews
  • Conduct surveillance reviews of client trading
  • Respond to regulatory inquiries and audits
  • Draft and update: WSPs, AML, BCP
  • Design and administer periodic regulatory training
  • Maintain WebCRD filings
  • External communication with SROs, regulatory bodies, auditors
  • Internal communication and support for operation and development staff
  • Actively monitor regulatory developments
  • Research exchange rules, analyze rule interpretations
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