The Execu|Search Group
Broker Dealer Compliance, Associate Director
The Execu|Search Group - New York, New York, us, 10261
Work at The Execu|Search Group
Overview
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Overview
A financial services firm in New York City is currently seeking an experienced Compliance Consultant to join their growing team as their new
Associate Director - Broker Dealer Compliance . Responsibilities: Work closely on compliance matters with client personnel Assist broker-dealer clients through regulatory examinations and respond to regulatory inquiries Write, edit, and maintain procedures manuals including WSPs, AML Programs, Training Plans, etc. Conduct Firm reviews and mock examinations Deliver annual compliance meetings Serve as registered Chief Compliance Officer for the firm's broker-dealer (BD) clients in limited circumstances Create BD and client relationships via networking with our clients and contacts Conduct branch office inspections Perform other duties, as needed Qualifications: 5+ years relevant experience in Broker Dealer Regulatory Compliance Bachelor's Degree Detailed knowledge of FINRA rules and Broker Dealer Compliance Series 7 & 24 licensed required; or must be willing and able to obtain FINRA Series 7 & 24 registrations with FINRA within 1 year of hire Strong understanding of the Investment Banking and Institutional Brokerage business Solid analytical and research skills Great interpersonal skills Excellent communication skills (written and verbal) Strong attention to detail Highly organized Desired Skills: Knowledge of the Investment Advisors Act of
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Associate Director - Broker Dealer Compliance . Responsibilities: Work closely on compliance matters with client personnel Assist broker-dealer clients through regulatory examinations and respond to regulatory inquiries Write, edit, and maintain procedures manuals including WSPs, AML Programs, Training Plans, etc. Conduct Firm reviews and mock examinations Deliver annual compliance meetings Serve as registered Chief Compliance Officer for the firm's broker-dealer (BD) clients in limited circumstances Create BD and client relationships via networking with our clients and contacts Conduct branch office inspections Perform other duties, as needed Qualifications: 5+ years relevant experience in Broker Dealer Regulatory Compliance Bachelor's Degree Detailed knowledge of FINRA rules and Broker Dealer Compliance Series 7 & 24 licensed required; or must be willing and able to obtain FINRA Series 7 & 24 registrations with FINRA within 1 year of hire Strong understanding of the Investment Banking and Institutional Brokerage business Solid analytical and research skills Great interpersonal skills Excellent communication skills (written and verbal) Strong attention to detail Highly organized Desired Skills: Knowledge of the Investment Advisors Act of
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