Compliance Officer Securities Testing - New Capital Solutions (New York, NY)
Posted: Saturday, May 4, 2013 8:36 PM
Candidate will join a team of Compliance Officers charged with the reviews of all U.S. banking and broker- dealer activities. The position provides exposure to a wide variety of business areas and an opportunity to work on teams. Assist in the conducting of compliance inspections of branch offices, trading desks, and other reviews in Markets and Corporate Finance, with a view towards assessing compliance with applicable laws, rules, policies and procedures. Escalate and follow up when issues are found. Remain current on industry rules, regulations and best practices to help ensure that the examination program meets regulatory standards. Help to make effective use of information systems. Work on special projects and targeted reviews, as may be necessary. Coordinate with other professionals in the organization, including Compliance Advisory teams, Operations, Finance, and Surveillance Analysts. Communicate examination results, present identified issues to the business, work with the business to develop and implement a plan of corrective action, and prepare written inspection reports. Maintain detailed documentation of work product. Provide feedback to Compliance Advisory and to the Front Office where there are outdated procedures or recurring issues. Remain current on industry rules, regulations and best practices to help ensure that the overall examination program meets regulatory standards. Domestic travel will be required (approx 30 days a year). Position Requirements Bachelor’s Degree (Finance or Economics preferred). MBA or JD a plus, along with Series 7 and 24 licenses Experience in Institutional Sales and Trading is highly preferred. Minimum of eight years of compliance and/or regulatory experience (prior or current work at FINRA a plus), with knowledge of the financial service industry, regulatory requirements and experience in analyzing business risk and best practices. Strong investigative skills – inquiry and analysis, interviewing, testing (including forensic testing), organization and presentation (both written and verbal) Excellent communication, interpersonal and PC skills.
• Location: Manhattan
• Post ID: 36539535 newyork