Senior Compliance Officer

Job Details

Our client, a well-established Alternative Investments firm is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team.

Key responsibilities include:

• Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regulations.
• Reviewing personal trading activities for all employees in the region
• Trade surveillance reviews
• Assist with the review of firm marketing materials.
• Understanding of FINRA & SEC marketing/advertising rules, public and private fund experience a plus.
• Compliance Testing ( Knowledge of FINRA rule 3120 a plus)
• AML
• Compliance training
• Regulatory exams and inquiries
• Series 7 & 24 Required

Seeking 2-5 years of compliance experience at a highly regulated investment bank or broker dealer

Bachelors Degree

Self-starter with strong written & communication skills and with the ability to practice sound judgement and work independently and within a team dynamic.

 Global Investment Bank and Broker Dealer

 06/01/2024

 All cities,NY