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Job ID Number: 1260563204
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Regulatory Inquiries |
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| Job Title: |
Regulatory Compliance Officer - Net Capital and Securities Operations |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Top tier financial services firm is looking for a Regulatory Compliance Officer.
The candidate would be advising regarding compliance with relevant laws, regulations and internal policies concerning broker-dealer securities operations including Clearance and Settlement, P&S, Net Capital, Customer Reserve and Segregation, and Securities Lending.
This role involves all aspects of Compliance supporting both entities and the offshore business lines that they services. Responsibilities include (but not exhaustive):
• Maintain a strong Compliance Operations Advisory function in the Operations, Finance and Securities Lending areas.
• Emphasis on the firm’s Group policies and local legislation.
• Work in coordination with the overall Compliance team to maintain policies and procedures, and the monitoring of the business’ compliance with those policies and procedures.
• Develop effective partnerships and regular reporting to local Heads of Business and Compliance Management.
• Liaison and maintenance of relations with regulators and authorities .Supervise the Compliance Monitoring Plan to ensure that tests are performed within the required timescales and that issues are escalated accordingly.
• Oversee the appropriate resolution of complaints and breaches.
• Maintain Compliance procedures and update on a timely basis to reflect regulatory changes as necessary.
• Participate on behalf of Compliance at local executive, operating and steering committee meetings as required.
• Identify, develop and deliver Compliance training where required.
• Work with business lines to ensure that Key Operating Procedures are maintained.
Requirements
• 7 to 15 years of in house broker dealer Compliance and Regulatory experience.
• Knowledge of Securities and Exchange Commission and FINRA rules, laws and regulations pertaining to Operations, Finance and Securities Lending. In addition, working knowledge of Regulation W, and 23 A and B and other bank regulations a plus.
• Bachelors Degree in Accounting, Finance or International Business or related financial fields.
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
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