VP Compliance Officer – Control Room

Overview

Job Description

Report to: Chief Compliance Officer, NY

JOB DUTIES / RESPONSIBILITIES:

• 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

JOB SPECIFICATIONS:

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