This job ad has been posted over 40 days ago...
COMPLIANCE OFFICER – BOUTIQUE INVESTMENT BANK
at The Compliance Search Group in New York
Investment banking and institutional sales and trading business seeks a Compliance professional. The sales and trading business focuses on “high touch” sales and trading of cash credit products, credit and equity derivatives, and electronic trading of equities and futures. Future expansion will include cash equities, interest rate, and FX sales and trading.
The Compliance Officer will assist in the design and lead the market surveillance program that will cover its investment banking and sales and trading businesses.
This is a unique opportunity to join and help design the build-out of an entirely new and substantial investment banking and institutional brokerage business.
The candidate must have substantial experience with the regulation of broker-dealers, including SEC, FINRA, and NYSE regulatory requirements, and the ability to design and implement an effective surveillance program.
The surveillance program will cover areas such as AML, trade reporting, books and records as well as communications including email, market commentary and research. Series 7 and 24 licensed individuals are preferred, but this is not an absolute requirement. The target experience range for the ideal candidate is approximately 5-10 years.
Responsibilities will include:
Developing an understanding of the systems used by the business units while working with IT and vendors to produce an effective surveillance reporting framework
Perform daily and periodic surveillance including the review of Compliance and other supervisory reports to be developed
Troubleshoot and assist in resolving supervision related issues; reconcile exceptions identified by supervisory reviews
Proactively identify potential issues and lead initiatives to improve supervisory procedures
Test various supervisory processes to ensure effectiveness
Research and respond to regulatory inquiries, examinations and audits with focus on investment banking and sales and trading practices
Assist in advising and implementing necessary controls/actions plans to address supervisory issues arising from regulatory/audit/compliance reviews
Conduct compliance training
Provide compliance support to investment banking and sales and trading business
Please email resumes to Jack Kelly - jkelly@ComplianceSearch.com
The Compliance Officer will assist in the design and lead the market surveillance program that will cover its investment banking and sales and trading businesses.
This is a unique opportunity to join and help design the build-out of an entirely new and substantial investment banking and institutional brokerage business.
The candidate must have substantial experience with the regulation of broker-dealers, including SEC, FINRA, and NYSE regulatory requirements, and the ability to design and implement an effective surveillance program.
The surveillance program will cover areas such as AML, trade reporting, books and records as well as communications including email, market commentary and research. Series 7 and 24 licensed individuals are preferred, but this is not an absolute requirement. The target experience range for the ideal candidate is approximately 5-10 years.
Responsibilities will include:
Developing an understanding of the systems used by the business units while working with IT and vendors to produce an effective surveillance reporting framework
Perform daily and periodic surveillance including the review of Compliance and other supervisory reports to be developed
Troubleshoot and assist in resolving supervision related issues; reconcile exceptions identified by supervisory reviews
Proactively identify potential issues and lead initiatives to improve supervisory procedures
Test various supervisory processes to ensure effectiveness
Research and respond to regulatory inquiries, examinations and audits with focus on investment banking and sales and trading practices
Assist in advising and implementing necessary controls/actions plans to address supervisory issues arising from regulatory/audit/compliance reviews
Conduct compliance training
Provide compliance support to investment banking and sales and trading business
Please email resumes to Jack Kelly - jkelly@ComplianceSearch.com
Published at 05-03-2010
Viewed: 29 times
Viewed: 29 times