Job Description

Report to: Chief Compliance Officer, NY


  • Assist in the overall design and implementation of the Compliance Program for US Broker-Dealer
  • Perform periodic Compliance testing/surveillance and ensure successful and timely completion of the Compliance program
  • Maintain Restricted, Watch and Marketing Lists and handle Conflicts Clearance
  • Monitor employee personal trading
  • Monitor electronic communications
  • Draft and maintain policies and procedures
  • Assist in producing responses for regulatory examinations and internal audits
  • Assist in developing and conducting targeted and annual compliance training


Education, Experience and Key Competencies

  • 7 + years of experience in general compliance, within the financial services industry
  • Experience with compliance testing and internal controls for sales and trading and investment banking businesses.
  • Control Room experience is highly desirable.
  • Strong organizational and effective communication skills, including presentations and public speaking
  • Must be highly flexible, multi-task oriented and capable of changing directions based on business demands
  • Team-oriented with strong interpersonal skills, ability to manage conflict and deal with pressure in a positive manner
  • Bachelor’s degree from an accredited college/university, preferably in accounting, finance, economics or related discipline. J.D. degree is a plus

Job Order ID: 1209

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