You haven't searched anything yet.
Prop Trading Firm in New York is looking for a permanent Compliance Officer!
A leading prop trading firm is looking for a Compliance Associate to join the team. He/she will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state regulatory requirements and regulatory best practices. With a diverse team of Compliance professionals supporting all areas of our business, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.
Essential Functions:
· The ideal candidate will be professional, analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and industry’s principles.
· Continually improve Compliance Program for relevant entity by utilizing applicable regulations, risk management techniques, and business area knowledge to maintain and test relevant policies and procedures that comprise the compliance program.
· Identify and react to changes in regulatory requirements impacting the broker/dealer.
· Develop and maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Finds, interprets and implements directives and/or regulation that impact(s) the current compliance environment.
· Assist with our regulatory and annual compliance examinations.
· Monitor employee communications in accordance with the firm’s e-surveillance program.
· Coordinating with federal and state regulators.
· Planning, implementing and overseeing risk-related programs and assisting with compliance questions and other needs.
Full Time
$91k-122k (estimate)
07/04/2024
08/01/2024
scrsearchnow.com
New York, NY
<25
The job skills required for Compliance Officer include Risk Management, Trading, Compliance Monitoring, Planning, Verbal Communication, 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.