Broker Dealer Compliance Officer


Seeking experienced Compliance “Generalist” (7+ years preferred) with AML background, experience with Pershing platform, and strong retail brokerage compliance.   Preferred experience includes investment advisory matters, use of FINRA CRD, branch exams, insurance, and bank/broker issues.    Series 7/66/24 preferred or must attain within nine months.

Primary Responsibilities:

  • AML/KYC Surveillance and Investigations
  • Liaison with Bank
  • Reconcile Client and Pershing KYC records
  • Daily, weekly and monthly surveillance
  • Numerous one-time or annual projects including PEP review, 314A and 314B, SAR review
  • SAR Review and Filing
  • Third Party Checks and Wires
  • Use of Actimize and/or Clearing Firm Rules Engine
  • Personal Account Dealing Review and Organization including Rule 407 letters
  • Daily Trade Surveillance, AML and Sales Practice
  • Branch Office Examinations
  • Customer Complaint handling
  • Investment Advisor (1940 Act) Policies and Procedures
  • Monitoring of Insurance Licensing

Numerous projects and reports possibly involving but not limited to:

  • Regulation S
  • New Account Documentation
  • Best Execution and Trading Room Issues
  • Disclosure Mailing to Customers
  • Firm element continuing education
  • Structured Products
  • Senior Investors
  • Able to act as audit and regulatory liaison
  • E-mail, Communication and Social Media Review
  • FINRA CRD and continued education


Skills & Experience:

  • Bachelor degree.
  • FINRA Series 7 and 63 or 66; Series 24 within 90 days of hire date.
  • Strong understanding of AML, KYC and BSA rules and regulations.
  • ACAMS certification preferred or can obtain within six months of hire.
  • Familiar with FINRA CRD
  • Familiarity with Pershing NetX360 or similar clearing firm system.
  • Excellent written and verbal communications skills.
  • Familiarity with Bloomberg system a plus.
  • 7+ years experience in securities compliance, audit and/or risk areas.
  • Be a self-starter, with a strong work ethic and the ability to both research and generate new approaches to problems.
  • Strong communication skills including writing/composition, oral and listening skills.
  • Ability to multi-task and work under tight deadlines.
  • Be superbly well-organized.


Job Order ID: 1288

To apply for this job email your details to margaret@mjboyd.net