A financial services firm is seeking an experienced professional to join their growing team as a Compliance Associate Director.
Responsibilities:
- Work closely on compliance matters with client personnel
- Assist broker-dealer clients through regulatory examinations and respond to regulatory inquiries
- Advise clients regarding compliant business practices
- Write, edit, and maintain procedures manuals including WSPs, AML Programs, Training Plans, etc.
- Deliver annual compliance meetings
- Serve as registered Chief Compliance Officer for firm's broker-dealer clients in limited circumstances
- Perform other duties as needed
Qualifications:
- Bachelor's degree in related field
- 5+ years relevant experience in BD regulatory compliance
- Detailed knowledge of FINRA rules, SEC Regulations and BD compliance
- Series 7 & 24 licensed
- with FINRA within 3 months of hire
- Ability to work independently, multi-task, manage projects and time effectively
- Strong understanding of the investment banking and institutional brokerage business
Desired Skills:
- Knowledge of Trading Desk compliance
- Knowledge of the Investment Advisors Act of 1940
Reference # 501469
