Skip to main content

This job has expired

Compliance Manager

Employer
The Judge Group
Location
New York
Salary
Competitive
Closing date
24 May 2022

View more

Employer Sector
Banking & Finance - Retail
Contract Type
Permanent
Hours
Full Time
Travel
None
Job Type
Compliance
Location: New York City, NY
Description: We currently have a great opportunity for a Compliance Manager to join an amazing investment banking company.

Responsibilities:
Responsible for the overseeing and providing compliance support to the assigned business units within a broker-dealer compliance program.

Provide guidance and support to business partners, senior management, and compliance team in the development of infrastructure and control requirements.
Ensure that appropriate regulatory policies, procedures and controls are established, maintained, and well documented.
Take ownership of all ongoing compliance review processes and requirements related to assigned areas of coverage.
Coverage areas will include registration fillings (U4, U5, BD, etc.), policies and procedures, gifts and entertainment and non-cash compensation reviews.
Candidate will be involved with the review of the current compliance program framework and operations and will be expected to seek enhancements.

Qualifications & Requirements:Knowledge of the broker-dealer business from a product, corporate governance, compliance, risk, and administrative perspective.

General knowledge of FINRA and SEC rules and regulations, as well as state regulatory framework.
Knowledge of securities products (i.e. mutual funds, ETFs, private funds, equity and debt securities), compliance, and supervisory requirements.
Minimum of 3-5 years of experience as a compliance professional at a FINRA-registered broker-dealer is preferred, or regulator (diversity of experience strongly preferred)
Experience with rules and regulations applicable to broker-dealers
Understanding of SEC and FINRA non-cash compensation and registration rules
Comfort with ambiguity-capable of solving complex problems independently in a fast-paced environment and adapting along the way
Demonstrated success as a values-based leader who can build and maintain a culture of empowerment, ownership, and accountability
Ability to initiate and drive projects to completion with minimal guidance
Series 7, 24

Contact:
This job and many more are available through The Judge Group. Find us on the web at

Get job alerts

Create a job alert and receive personalised job recommendations straight to your inbox.

Create alert