Full service Dealer is looking to immediately hire a compliance officer with for its floor brokerage division. You will be responsible for overseeing the institutional equities execution business.
Responsibilities:
- Direct the execution of the Broker Dealer compliance for the floor division and risk assessment programs. Compliance, testing, monitoring, surveillance and adherence to all other relevant and applicable laws and regulations
- Identify policy and procedural enhancements and maintain awareness of company goals, regulatory developments and industry trends
- Implement, oversee and update the written supervisory procedures, surveillance program, testing programs, and the employee education programs including reviewing and addressing concerns from compliance testing results
- Daily risk management and pre/post trade surveillance and analysis
- Provide leadership, coaching and Assessment to ensure optimum team and individual performance in Support of compliance and overall company goals
- Oversee the review of all marketing and sales material and communications
- Participate in regular meetings with peers to build and maintain knowledge of current and emerging issues and risk in the environment
- Communicate with regulators and handle inquiries and exams
Qualifications:
- Bachelor's degree preferred
- Series 7, 63, 24 required and ability to obtain others quickly
- Minimum of 3 years of proven experience in a Broker Dealer compliance department and experience working with regulators
- Comprehensive understanding of applicable laws, regulations and requirements, including industry practices
- Previous experience implementing Broker Dealer compliance program required
- Ability to think intuitively and strategically
- Highly developed managerial, communication, negotiation, organizational, project management, and strategic planning skills. Ability to take decisive action and to motivate and develop others
- Problem solver and quick thinker
- Excellent oral and written communication skills with the ability to present
- Ability to negotiate and collaborate with others, adapt to change, make difficult decisions, and accept challenging assignments
- Ability to work independently and manage multiple complex projects simultaneously
- Proficient with Microsoft Office products
Work Remotely
Job Type: Full-time
Pay: $90,000.00 - $150,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Vision insurance
License/Certification:
Work Location: In person