 |
Job ID Number: 1258571952
Please reference this Job ID number in any communication you may send.
|
|
|
|
|
| Job Category: |
Surveillance |
|
| Job Title: |
Compliance - Monitoring, Surveillance and Investigations |
|
| State/Location: |
New York, NY |
|
| Recruiter Name: |
Jack Kelly |
|
| Recruiter Email: |
JKelly@ComplianceSearch.com |
|
| Description: |
Top-tier global investment bank seeks a Compliance professional to join a team of Compliance Officers to review of all U.S. investment banking and broker dealer activities.
Responsibilities include:
• Assist in the planning and conducting of compliance reviews, testing and inspections of trading desks (equities, fixed income, derivatives, etc.) and /or issues emanating from these divisions with a view towards assessing compliance with applicable laws, rules, policies and procedures, and escalate and follow up on issues found.
• Remain current on industry rules, regulations and best practices to help ensure that the examination program meets regulatory standards.
• Work on special projects and targeted reviews
• Coordinate with other professionals in the organization, including Compliance Advisory Teams, Regulatory Inquiry Staff, and Surveillance Analysts.
• Communicate examination results, including preparation of written inspection reports and presenting identified issues to the business.
• Provide feedback to Compliance Advisory where there are outdated procedures or recurring issues.
• Domestic travel required (approx 30 days a year).
Position Requirements
• Bachelor’s Degree (Finance or Economics preferred). MBA or JD is helpful, along with Series 7 and 24 licenses
• Previous experience in one or more of the following: government agency or self-regulatory organization; front or back office experience with a brokerage firm or investment advisor; in a regulatory, compliance or business capacity on sales or trading desks; in a transactional capacity; or with a hedge fund, investment advisor or investment company
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
The Compliance Search Group is the oldest, largest and most respected global search firm focused on the placement of Compliance, Legal, Risk Management, Audit, Credit, Accounting, Financial Controls and Regulatory professionals.
To view all our positions please visit
The Compliance Search Group
Also, please feel free to visit our informational blogs: The Compliance Exchange www.CompliancEX.com
The Hedge Funds Exchange www.HedgeFundsX.com
To join The Compliance Exchange on LinkedIn please click here Join CompliancEX on Linkedin
|
|
|
|
