What are the responsibilities and job description for the Compliance Executive for Self-Clearing Broker-Dealer located in New York position at AJ Consultancy?
Job Description
Job Description
Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working for a Self-Clearing Broker Dealer in the role of Chief Compliance Officer who has worked at a Self-Clearing Broker Dealer within the last 5 years as who has significant experience in the supervision of Equities Trading " as well as writing and updating Written Supervisory Procedures and firm policies All Other Please DO NOT APPLY". Candidate must have or be willing to get a Series 7 and 24. Once again only Candidates that have 5 years' experience in the role of Chief Compliance Officer working at a Self-Clearing Broker-Dealer within the last 5 years will be considered, all others please do not apply.
- Establish and maintain standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues at a tech-enabled broker-dealer
- Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, transaction monitoring, AML compliance, training and annual testing
- Manage regulatory interactions, prepare submissions and coordinate responses to inquiries from regulatory authorities
- Monitor compliance issues and changes in regulations, reporting their impact on the organization to stakeholders
- Oversee a team that is responsible for registrations and lead the following : coordination of broker-dealer audits, inspections, reviews, and examinations; monitor complaints; conduct surveillance and transaction monitoring and reporting
- Manage all aspects of the Firm's AML compliance program (as outlined in FINRA Rule 3310)
- Handle additional projects as needed in a rapidly changing regulatory environment
What You'll Need :
