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Senior Level Banking Compliance Officer
at The Compliance Search Group in Boston, MA or Providence, RI
Our client, a global bank, seeks a Senior Level Banking Compliance Officer.
Responsibilities
Acting as second-in-command to the Chief Compliance Officer, oversee the compliance and supervision program. Responsible for all compliance/risk management activities including but not limited to sales, marketing, operations, finance and customer service to ensure compliance with all State (State Securities and State Insurance Divisions), Federal (FINRA, SEC and MSRB) and Bank (OCC, FRB) regulations.
Such responsibilities include the review and implementation of policies and procedures related to the FC, RSM, DOS, Branch and Department examination programs, enforcement and disciplinary issues, customer complaints, outside business activities, firm element continuing education, suitability review and all aspects of supervision (inclusive of email, correspondence, advertising, personal securities trading, adherence to policies, procedures and codes-of-ethics, etc.)
Qualifications:
10+ years broker/dealer experience (bank affiliated firm preferable)
10+ years in securities industry compliance position(s) (e.g. B/D, Mutual Fund, Investment Advisor, etc.)
5+ years in compliance management
Legal background a plus but not required
Thorough understanding of the rules, regulations and legal requirements of the SEC, FINRA and general state securities and insurance regulatory requirements
Proficiency and or direct experience with examination principles and practices for the securities industry
Knowledge of operational matters within a Retail B/D and Registered Investment Advisor
Able to support, present to and appropriately interact with all levels of Senior and Executive Management
Minimum BS in Business Administration (Finance, Economics) or related field or equivalent business experience
NASD Series 7 and 24 registration required (or equivalent regulatory registration) - Series 65/66 and 53 preferred but not required
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
Responsibilities
Acting as second-in-command to the Chief Compliance Officer, oversee the compliance and supervision program. Responsible for all compliance/risk management activities including but not limited to sales, marketing, operations, finance and customer service to ensure compliance with all State (State Securities and State Insurance Divisions), Federal (FINRA, SEC and MSRB) and Bank (OCC, FRB) regulations.
Such responsibilities include the review and implementation of policies and procedures related to the FC, RSM, DOS, Branch and Department examination programs, enforcement and disciplinary issues, customer complaints, outside business activities, firm element continuing education, suitability review and all aspects of supervision (inclusive of email, correspondence, advertising, personal securities trading, adherence to policies, procedures and codes-of-ethics, etc.)
Qualifications:
10+ years broker/dealer experience (bank affiliated firm preferable)
10+ years in securities industry compliance position(s) (e.g. B/D, Mutual Fund, Investment Advisor, etc.)
5+ years in compliance management
Legal background a plus but not required
Thorough understanding of the rules, regulations and legal requirements of the SEC, FINRA and general state securities and insurance regulatory requirements
Proficiency and or direct experience with examination principles and practices for the securities industry
Knowledge of operational matters within a Retail B/D and Registered Investment Advisor
Able to support, present to and appropriately interact with all levels of Senior and Executive Management
Minimum BS in Business Administration (Finance, Economics) or related field or equivalent business experience
NASD Series 7 and 24 registration required (or equivalent regulatory registration) - Series 65/66 and 53 preferred but not required
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
Published at 05-03-2010
Viewed: 65 times
Viewed: 65 times