Trevose Partners Limited
AD - Broker Dealer Compliance
Trevose Partners Limited, New York, New York, us, 10261
A consulting firm in New York is seeking a Broker-Dealer Compliance Consultant for their growing remote team!
Key Responsibilities:Collaborate with client staff on compliance issues.Guide clients through regulatory examinations and address regulatory inquiries.Provide advice on regulatory-compliant practices in areas such as sales, trading, and research.Develop and update compliance manuals, including written supervisory procedures and AML programs.Perform internal reviews and mock audits for clients.Lead annual compliance meetings.Occasionally act as the registered Chief Compliance Officer for client broker-dealers.Build and maintain client relationships through networking.Conduct inspections of branch offices.Qualifications:Minimum of 5 years of experience in broker-dealer regulatory compliance.In-depth understanding of FINRA rules, SEC regulations, and general compliance practices.Series 7 and 24 licenses required or must be obtained within 3 months of hiring.Bachelor's degree in a relevant field.Proven ability to work independently, manage multiple tasks, and meet deadlines.Strong communication, writing, and interpersonal skills.Comprehensive knowledge of the investment banking and brokerage sectors.Flexible and adaptable to work with a varied client base.Some travel may be necessary.Candidates can be based anywhere in the U.S.Familiarity with the Investment Advisors Act of 1940 and trading desk compliance is a plus.Benefits:
We offer a comprehensive benefits package including health insurance, long-term disability coverage, life insurance, a 401(k) plan, paid time off, flexible spending accounts, and a commuter program.
Morgan.Lang@TrevosePartners.com
The perfect rolefor you? Don't hesitate...
Apply now
Key Responsibilities:Collaborate with client staff on compliance issues.Guide clients through regulatory examinations and address regulatory inquiries.Provide advice on regulatory-compliant practices in areas such as sales, trading, and research.Develop and update compliance manuals, including written supervisory procedures and AML programs.Perform internal reviews and mock audits for clients.Lead annual compliance meetings.Occasionally act as the registered Chief Compliance Officer for client broker-dealers.Build and maintain client relationships through networking.Conduct inspections of branch offices.Qualifications:Minimum of 5 years of experience in broker-dealer regulatory compliance.In-depth understanding of FINRA rules, SEC regulations, and general compliance practices.Series 7 and 24 licenses required or must be obtained within 3 months of hiring.Bachelor's degree in a relevant field.Proven ability to work independently, manage multiple tasks, and meet deadlines.Strong communication, writing, and interpersonal skills.Comprehensive knowledge of the investment banking and brokerage sectors.Flexible and adaptable to work with a varied client base.Some travel may be necessary.Candidates can be based anywhere in the U.S.Familiarity with the Investment Advisors Act of 1940 and trading desk compliance is a plus.Benefits:
We offer a comprehensive benefits package including health insurance, long-term disability coverage, life insurance, a 401(k) plan, paid time off, flexible spending accounts, and a commuter program.
Morgan.Lang@TrevosePartners.com
The perfect rolefor you? Don't hesitate...
Apply now