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Ajccorp

Compliance Officer

Ajccorp, Greenwich, Connecticut, us, 06831


Job Responsibilities

Oversee and manage the firm’s compliance program. Work with the CEO and other C-Suite colleagues to implement best practices.

Perform risk assessments, monitoring and surveillance activities, and engage in project management to support the compliance program and ensure best practices.

Act as the primary AML Officer.

Update and maintain the firm’s WSPs.

Responsible for communications with regulatory bodies including preparation of regulatory filings.

Lead and manage all regulatory exams, inquiries, and new compliance program initiatives.

Ensure adherence to all regulatory requirements of business policies and programs at a level commensurate with regulatory expectations.

Create accurate documentation of compliance monitoring and surveillance activities.

Report findings to the teams and provide timely follow-up on outstanding issues.

Perform other duties as necessary and assigned by the CEO.

Job Requirements

FINRA Licenses: 7, 63, and 24 Required. Series 79 and 55 helpful.

Demonstrate knowledge of U.S. securities laws, particularly the Securities Act of 1933, the Securities Exchange Act of 1934, and other SEC & FINRA regulations.

Compensation : Compensation package offerings are based on candidate experience and technical qualifications, as it relates to the role. These are identified and determined throughout your interviewing experience.

Location : Greenwich, Connecticut onsite.

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