Icon hamburger
Briefcase

Create Job Alert.

Enter your email below to save this search and receive job recommendations for similar positions.
Thank you. We'll send jobs matching these to
No Thanks
US
What job do you want?

Create Job Alert.

Get similar jobs sent to your email

Apply to this job.
Think you're the perfect candidate?
Apply Now
Thumsup

You’re being taken to an external site to apply.

Enter your email below to receive job recommendations for similar positions.
7f9dd9d30be8773cd4ae2dc01008e4f6

Compliance Manager - Broker/Dealer

Kforce Finance and Accounting New York, NY Full-Time
$90,000.00 - $120,000.00 / year
Apply Now

Create Job Alert.

Get similar jobs sent to your email

RESPONSIBILITIES:

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. Responsibilities:
  • Manage broker-dealer core compliance obligations, including, registration processes, continuing education, annual training
  • Execute on our broker-dealer compliance functions
  • 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

REQUIREMENTS:

  • 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.

Recommended skills

Trading
Finance
Investments
Recruitment
Training
Auditing
Apply to this job.
Think you're the perfect candidate?
Apply Now

Help us improve CareerBuilder by providing feedback about this job: Report this job

Report this Job

Once a job has been reported, we will investigate it further. If you require a response, submit your question or concern to our Trust and Site Security Team

Job ID: FAAQG1885705

CAREERBUILDER TIP

For your privacy and protection, when applying to a job online, never give your social security number to a prospective employer, provide credit card or bank account information, or perform any sort of monetary transaction. Learn more.

By applying to a job using CareerBuilder you are agreeing to comply with and be subject to the CareerBuilder Terms and Conditions for use of our website. To use our website, you must agree with the Terms and Conditions and both meet and comply with their provisions.