Broker Dealer Compliance Officer

Location: New York, New York, United States

Ref#: POS-3612

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Role Responsibilities:

  • Specific responsibility for assisting the CCO  and senior compliance officers with developing and administering a compliance program..
  • Administer employee onboarding process, including training and registrations (U4, NRF and U5 filing) at the direction of a senior compliance officer.
  • Administer employee personal trading process and related reviews at the direction of a senior compliance officer. 
  • Review OATS reports to ensure compliance.
  • Conduct surveillance reviews to make sure the current compliance program is working,
  • Review, summarize, and provide recommendations on applicable new rule proposals and regulatory notices.
  • Build deep and trusting relationships with coverage areas and counterparts in other supporting roles (legal, ops etc.).
  • Be energetic and passionate about digging into the details, demonstrate a thirst for knowledge and learning.
  • Series 7, 57, and 24 must be obtained as part of this role. 

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