What are the responsibilities and job description for the Senior Compliance Analyst position at Mission Staffing?
Our client, a global financial services firm in New York, NY is seeking a Risk and Compliance professional to join their growing team. This person will facilitate the delivery of Compliance owned workstreams associated with the regulations of a broker dealer (FINRA, SEC, CFTC, DTCC and NFA). In addition, this person will assist with regulatory inquiries and examinations as well as collaborate with stakeholders from Legal and Regulatory Affairs. Candidates must have 3-6 years of investment advisory or broker-dealer experience with background in supervisory principal activities.
Additional Responsibilities
- Provide procedural guidance to Portfolio Managers, Wealth Advisors and Salespersons
- Principal review and approval of account maintenance and new accounts, including natural person and entity new accounts, with strategies spanning across asset classes (equity, fixed income, private equity/credit and hedge funds)
- Monitor Discretionary & Non-Discretionary Investment Advisory program relationships, using proprietary firm tools, with a focus on identification, mitigation and resolution of alerts related to IPS Compliance
- Assist with policies and procedures to ensure compliance with various regulations including the Investment Advisers Act of 1940 and the Investment Company Act of 1940 rules and regulations
Qualifications:
- Must have Series 7 license.
- Series 66 and 24 (or 9/10) licenses are required; must be obtained within the first 6 months if not already held
- Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940 rules and regulations
- Must be capable of working on-site five days a week for a full year once fully licensed (in compliance with FINRA RSL Rule)
Salary : $75 - $80
