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Private Banking Branch Compliance Officer in Greenwich, Connecticut
at Compliance Search Group (Anywhere)
Private Banking Branch Compliance Officer in Greenwich, Connecticut
Top-tier global investment bank is in search for a Private Banking Branch Compliance Officer in Greenwich, Connecticut.
Responsibilities:
1. Responsible for actively monitoring and supervising registered representatives in respective branch office
2. Oversees approval of new accounts and the ongoing review of suitability of customer account activity.
3. Monitors and reviews all daily trading for areas including excessive trading, day trading, short sales, speculation in low priced securities, unauthorized use of discretion, inappropriate use of margin, options approvals, uncovered option trading, concentrations, mutual fund activity, security blue sky issues.
4. Reviews menu daily, weekly and monthly surveillance reports and conducts follow up reviews as deemed necessary
5. Monitors for compliance with new issue rules and sales of control and restricted securities.
6. Coordinates with Compliance Department on handling customer complaints and regulatory inquiries.
7. Monitors and reviews misuse of inside information and rumors
8. Manages relationships with regulatory examiners and internal audit teams.
9. Works in coordination with Compliance Department in the delivery of formal training and interpretation of rules and regulations
10. Monitors employee trading, including conflicts with customers
11. Reviews all branch correspondence, including a sample of email correspondence.
12. Advises the technology group regarding requirements for compliance processes/systems
13. Maintains current knowledge of applicable laws and regulations by attending industry and professional meetings and seminars
Experience and Skills Required/Desired:
1. Bachelor’s degree
2. 7-10 years industry experience
3. Series 7 and 8 (or 9 & 10) Certification.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Top-tier global investment bank is in search for a Private Banking Branch Compliance Officer in Greenwich, Connecticut.
Responsibilities:
1. Responsible for actively monitoring and supervising registered representatives in respective branch office
2. Oversees approval of new accounts and the ongoing review of suitability of customer account activity.
3. Monitors and reviews all daily trading for areas including excessive trading, day trading, short sales, speculation in low priced securities, unauthorized use of discretion, inappropriate use of margin, options approvals, uncovered option trading, concentrations, mutual fund activity, security blue sky issues.
4. Reviews menu daily, weekly and monthly surveillance reports and conducts follow up reviews as deemed necessary
5. Monitors for compliance with new issue rules and sales of control and restricted securities.
6. Coordinates with Compliance Department on handling customer complaints and regulatory inquiries.
7. Monitors and reviews misuse of inside information and rumors
8. Manages relationships with regulatory examiners and internal audit teams.
9. Works in coordination with Compliance Department in the delivery of formal training and interpretation of rules and regulations
10. Monitors employee trading, including conflicts with customers
11. Reviews all branch correspondence, including a sample of email correspondence.
12. Advises the technology group regarding requirements for compliance processes/systems
13. Maintains current knowledge of applicable laws and regulations by attending industry and professional meetings and seminars
Experience and Skills Required/Desired:
1. Bachelor’s degree
2. 7-10 years industry experience
3. Series 7 and 8 (or 9 & 10) Certification.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Published at 18-05-2010
Viewed: 17 times
Viewed: 17 times