This job ad has been posted over 40 days ago...
Compliance Business Assurance Officer
at The Compliance Search Group in New York
POSITION SUMMARY
New York based institutional broker dealer is seeking a Compliance Assurance Officer to assist in the implementation and management of the Written Supervisory Procedures (WSPs) and Supervisory Checklist process for the business and participate in the execution of the firm’s internal controls testing program.
RESPONSIBILITIES
Participate in the implementation of WSPs and supervisory checklists for each business/desk.
Coordinate the tracking of supervisory trainings and annual supervisory meetings.
Assist in the development and updating of firm-wide assurance processes.
Test the effectiveness of Compliance Policies and Procedures as well as Trade, Email and AML surveillance, for matter discovery, escalation, resolution and documentation.
Conduct branch office inspections covering Fixed Income, Equities, Commodities, FX and Futures business areas
Assist with other Compliance-related projects.
SKILLS REQUIRED
Minimum 3-5 years compliance or audit experience.
Knowledge of FINRA,NFA rules.
Solid communication, presentation, and interpersonal skills to capably interact with all business levels.
Strong computer and database management skills.
Organizational and project management skills with the ability to multi-task and attention to detail.
Four (4) year college degree
SKILLS DESIRED
Series 7 license
Prior experience at a Regulator (FINRA,SEC,NFA)
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
New York based institutional broker dealer is seeking a Compliance Assurance Officer to assist in the implementation and management of the Written Supervisory Procedures (WSPs) and Supervisory Checklist process for the business and participate in the execution of the firm’s internal controls testing program.
RESPONSIBILITIES
Participate in the implementation of WSPs and supervisory checklists for each business/desk.
Coordinate the tracking of supervisory trainings and annual supervisory meetings.
Assist in the development and updating of firm-wide assurance processes.
Test the effectiveness of Compliance Policies and Procedures as well as Trade, Email and AML surveillance, for matter discovery, escalation, resolution and documentation.
Conduct branch office inspections covering Fixed Income, Equities, Commodities, FX and Futures business areas
Assist with other Compliance-related projects.
SKILLS REQUIRED
Minimum 3-5 years compliance or audit experience.
Knowledge of FINRA,NFA rules.
Solid communication, presentation, and interpersonal skills to capably interact with all business levels.
Strong computer and database management skills.
Organizational and project management skills with the ability to multi-task and attention to detail.
Four (4) year college degree
SKILLS DESIRED
Series 7 license
Prior experience at a Regulator (FINRA,SEC,NFA)
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Published at 13-04-2010
Viewed: 23 times
Viewed: 23 times