Summary
Midtown broker dealer seeks individual with institutional sales & investment banking supervision experience.
Responsibilities include but not limited to:
- Analyze and report of relevant risk indicators and assist in identifying and remediating emerging compliance risks
- Assist with regulatory inquiries, interacting with regulatory examiners and internal auditors.
- Review research reports where the firm is acting in an investment banking capacity to determine availability of safe harbors for continued publication of research.
- Review trade data to ensure compliance with various regulatory requirements & identifying and addressing potential risks.
- Monitor employee trading activity as well as electronic communications
- Maintenance and review of the Firm’s Watch and Restricted Lists
- Perform periodic reviews with Sales, Trading, Research, Investment Banking personnel regarding specific firm transactions and compliance-related issues
- Assess compliance risk management programs/practices and internal controls
- Review communications with the public from Investment Banking for compliance with regulatory requirements and firm policies.
Qualifications:
· Series 7, 24, 79 mandatory
· 2 years of management experience
Proficiency with surveillance programs, Microsoft Office Word/Excel, compliance software
Service-oriented; the ability to balance regulatory and policy standards along with a business perspective
Exceptional organizational skills; the ability to effectively prioritize tasks, follow up, produce
· Bachelor degree or higher in business, accounting, economics or finance
Job Type: Full-time
Pay: $125,000.00 - $150,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Paid time off
- Vision insurance
Weekly schedule:
Work setting:
Education:
Experience:
- Financial services: 2 years (Preferred)
License/Certification:
- Series 79 (Preferred)
- Series 24 (Required)
Work Location: In person