Overview

Summary


Our client a boutique New York based investment advisor and broker-dealer has a need for an experienced Compliance Professional who will be responsible for day-to-day compliance and related supervisory functions of self-clearing FINRA broker-dealer and SEC Registered Investment Advisor. Compliance responsibilities for firm and two private investment funds with emphasis on team-work approach. Compliance Analyst will report to the Firm’s CCO and CFO.

Required Skills

  • Series 24 and Series 7.
  • 3 + years financial regulatory compliance experience, broker dealer experience a plus.
  • Advisory and Advisers Act experience.
  • Drafting of policies and procedures
  • Annual internal controls and WSP review
  • AML experience 
.

 

Responsibilities

  • Update internal policies and procedures to ensure compliance with applicable regulatory law, including broker dealer WSPs and IA policies and procedures.
  • Surveillance report review of trading.
  • Assist CCO with annual testing of the Firm’s policies and procedures.
  • Communication reviews.
  • Employee trading reviews.

Software 


  • MS Office, Outlook
  • Position will utilize various proprietary and commercial systems, which perform compliance 
monitoring, electronic trading and back office processing and reporting 
Salary and Personnel Information

Please email resumes to Michael Lane at   Mlane@ComplianceSearch.com

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