Classification: Full-time
Compensation: Pay up to $80000 per year
Major International Investment firm, New York, NY seeks Compliance Officer, Capital Markets.
DESCRIPTION: 1) Personal Account Dealing a) Participate in the review of monthly/quarterly employee accounts statements for appropriateness - exercise independent judgment as related to the activity and escalate issue and violation of policy to the CCO b) Coordinate with NY Branch and CM Group Compliance c) Respond to employee and management inquiries regarding information barriers and related firm policy and procedures. 2) Develop and implement training for CM Group and the firms SI Staff including BSA/AML and Regulatory Firm Element required training. 3) Responsible for licensing and registration function for the firms employees. Maintain various related tracking logs. Serve as Administrator for FINRAs WebCRD System. 4) Compliance Testing and Monitoring Program. Responsible for assigned Compliance Surveillance Reviews and testing covering applicable Federal Reserve Banking regulations as well as Broker Dealer Rules (FINRA and SEC) (e.g., telephone recording review, email surveillance, Reg L certifications, AML/BSA, etc. 5) Assist with the development and implementation of standardized global Compliance Manual covering CM Group based in NY, LN, and HK. Create/enhance Compliance Policies and Desk procedures for CM Group and the firms-SI. 6) Provide advice to management and staff on regulatory and internal compliance issues and procedures. 7) Sanctions/Terrorist Checking, (Secondary Responsibility);
Act as back-up point of contact and coordinate firms CM Group and SI's
sanctions and terrorist checking within the framework
Coordinate search of all the relevant client
databases/systems/spreadsheets for any potential matches for our
client-base
Notify management of significant changes to client
databases/systems/spreadsheets
Where a match(es) is identified, provide CCO with further information
(where available) regarding the client and its transactions.
8) Assist in the preparation internal and external reporting requirements
included: to Head Office, the Regional Compliance Officer (CCO, NA), FINRA, Fed and State. 9) Assist with preparing documentation and responding to regulatory examinations and internal Audit reviews. 10) Special projects as assigned by Dept. Head and Manager.
Base salary $60,000 to $80,000 plus bonus. IMMEDIATE HIRE***
Please contact: Rocco J. Tufo
Attach resume:
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