Kforce's client, a broker/dealer headquartered in New York, NY, is seeking a Compliance Officer for their Manhattan office. This is a company with tremendous stability and growth, and it has a track record of offering both to their employees over the past 30 years.
Work with the broker-dealer Operations and Trading teams to ensure regulatory compliance with applicable rules and regulations
Complete the annual review of the broker-dealer's compliance program and independent AML audit
Manages and continually improves Compliance Program
Develops and maintains a broad knowledge and awareness of the investment industry and regulatory and/or policy changes.
Update written supervisory procedures and draft desktop procedures for broker-dealer functions
Assist with our regulatory and annual compliance examinations
Monitor employee communications in accordance with the firm's e-surveillance program
Coordinating with federal and state regulators.
Planning, implementing and overseeing risk-related programs and Assisting with compliance questions and other needs
Bachelor's degree in law, finance, business management or a related field
3 - 5 years' proven experience in a compliance officer role and broker/dealer-related and escalations
Series 7 or equivalent required, Series 24 preferred or attained upon hiring
Broker-Dealer experience in Operations or Finance
Knowledge of broker-dealer financial responsibility rules
Good knowledge of legal requirements and procedures
Kforce is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity, national origin, age, protected veteran status, or disability status.
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Job ID: FAAQG1885705
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