98 Compliance Officer Jobs in New York, NY
Green Key Resources is Hiring a Compliance Officer Near New York, NY
- Analyze data and derive insights and risk indicators with the help of business intelligence tools
- Assist in implementing information barrier policies and procedures by maintaining the watch and restricted lists, deal lists and handling conflicts clearance
- Monitor employee personal trading and electronic communications and perform periodic compliance testing/surveillance
- Monitor employee gift & entertainment, political contributions, and outside business activities
- Communicate with Sales, Trading, Research, Investment Banking personnel regarding specific firm transactions and compliance related issues
- Participate in the drafting of compliance related policies and procedures, making recommendations to develop or enhance business unit procedures as they relate to Compliance Control Room (CCR)
- Act as the gatekeeper and chaperone with respect to permitted conversations between the restricted groups of employees and potential compliance issues arising out of monitored interactions
- Respond to compliance related questions from management and staff
- Assist in keeping the CCR current on relevant regulatory changes
- Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; perform and/or oversee information for compliance reporting to management
- Develop, coordinate and deliver initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies
- Analyze and report relevant risk indicators to assist in identifying and remediating emerging compliance risks
- Manage multiple deadline-oriented tasks in a fast-paced environment
- Respond to regulatory inquiries, interacting with regulatory examiners and internal auditors, and provide advice and guidance to business partners
- Perform other duties as required and assigned
- Bachelor's Degree from an accredited university
- 10 years experience at a registered broker-dealer, investment manager, or US bank
- Series 7, 24 required; Series 79 preferred
- Solid understanding of the nature of protection of information, in particular managing confidential and material non-public information
- Understanding of FINRA, SEC and other regulatory requirements pertaining to research, investment banking and mitigation of conflicts
- Manage controls to prevent and detect insider trading by employees
- Highly organized with the ability to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
- High levels of ethics, integrity and judgment
- Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization
- Extremely detail-oriented, strong analytical, problem-solving and critical-thinking skills
- Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
- Self-starter with the ability to work independently with minimal supervision as well as within a fast-paced team environment
Job Summary
Full Time
Ambulatory Healthcare Services
$111k-154k (estimate)
06/19/2024
08/08/2024
greenkeyllc.com
POTOMAC, MD
500 - 1,000
2004
CHELSEA MURPHY
<$5M
Ambulatory Healthcare Services
Related Companies
The job skills required for Compliance Officer include Microsoft Office, Problem Solving, Presentation, Trading, PowerPoint, Communicates Effectively, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Officer. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Officer. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Officer positions, which can be used as a reference in future career path planning. As a Compliance Officer, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Officer. You can explore the career advancement for a Compliance Officer below and select your interested title to get hiring information.
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