 |
Job ID Number: 1256057520
Please reference this Job ID number in any communication you may send.
|
|
|
|
|
| Job Category: |
Capital Markets |
|
| Job Title: |
Sr. COMPLIANCE ANALYST CAPITAL MARKETS & BANKING |
|
| State/Location: |
New York, NY |
|
| Recruiter Name: |
Michael Tuller |
|
| Recruiter Email: |
MTuller@compliancesearch.com |
|
| Description: |
Monitoring and Testing Responsibilities, including:
The compliance officer is responsible for expanding, implementing, and running the testing and monitoring program for banking and other specified regulatory Compliance within the Department. The testing program involves: (1) establishing or revising compliance review procedures and processes, (2) designing testing and monitoring procedures, (3) conducting compliance risk assessments directly with business units, (4) analyzing results for compliance with applicable laws and regulations, and (5) recommending enhancements based upon the results analysis, feedback from regulatory agencies, and internal audit findings.
Expand, implement, and run the testing and monitoring program for banking and other specified regulatory compliance within the Department;
Develop and implement new monitoring procedures as needed for business units, including but not limited to, portfolio management, agency lending, money markets funding, derivatives, and foreign exchange;
Develop and implement procedures to monitor New York branch transactions for compliance with applicable laws and regulations, including Regulation W (23A/23B), Privacy, and Insider Trading/ Information Barriers;
Work in conjunction with other departments to identify or design system transaction reports to review for monitoring purposes;
Test new account files opened by the Client Verification Team for compliance with BSA/AML and CIP regulations;
Capital Markets Surveillance Responsibilities, include:
Reviewing daily transaction activity for exceptions
Process Blue Sheet Requests from FINRA, NYSE or SEC;
involved with the Auction process;
Assist in Personal Account Dealing process;
Assisting (Director, Compliance) on projects as requested;
Monitor Equity Trade Journals
Review Daily Nasdaq Trading Halts
Monitor OATS logs
Monitor TRACE logs
Monitor Short Interest Reporting
Review of Reg SHO Threshold List
Assist with updating Capital Markets policies and procedures
Form SH Filing
Review Email
Provide Compliance input on group and general issues as required and generally promote effective compliance throughout the firm
Other responsibilities:
Blue Sheet Reporting
Supervisory Sign-Offs Collect/file supervisory sign-offs
Review Daily NASDAQ Trading Halts
Update Gifts approval log
Review Treasury business check against restricted list
Trade Reporting Support Users
BA/BS preferred; work experience considered.
3+ years experience with a regulator, or in the Compliance department of a similarly positioned bank or broker dealer.
Hold Series 7. Series 4 and/or Series 24 a plus.
Flexibility in meeting the multiple requirements of the position.
Must have good communication skills.
PLEASE CONTACT:
Michael Tuller
Director of Executive Search
Compliance Search Group, LLC
212-997-3163
mtuller@compliancesearch.com
|
|
|
|
