Regulatory Compliance Officer
Manhattan, NY, United States
Job Description
Our client is seeking an experience compliance officer to join their Legal & Compliance team located in Manhattan, NY.
Responsibilities:
- Managing Regulatory Examinations and inquiries
- Compliance monitoring and reporting, forensic testing, and regulatory gap analysis.
- Review, draft, and implement compliance policies and procedure, code of ethics and WSPS
- Perform annual and ad-hoc compliance reviews.
- Regulatory filings and reporting
- Review and approving marketing and advertising materials
- Assist in presenting to various committees on topics such as trading , liquidity, valuation and derivatives.
- Assist in special projects.
Opportunity to join a dynamic compliance department|Client will move quickly with qualified candidates
Qualifications:
- 6-9 years of relevant compliance experience working at an Investment Advisor, Broker-Dealer, or related firm.
- Bachelor\'s Degree required
- Series 7, 24, 63 is preferred
- Experience with MyComplianceOffice and Global Relay is a plus
Our client offers:
- Competitive Compensation Package
- Comprehensive Benefits Package
- Hybrid Working Model
Beware of fraud agents! do not pay money to get a job
MNCJobz.com will not be responsible for any payment made to a third-party. All Terms of Use are applicable.
Related Jobs
Job Detail
-
Job IdJD4326153
-
IndustryNot mentioned
-
Total Positions1
-
Job Type:Full Time
-
Salary:$130000 - 150000 per year
-
Employment StatusPermanent
-
Job LocationManhattan, NY, United States
-
EducationNot mentioned