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Job Details

Compliance Officer

Company name
Hunt Companies

Location
Rye Brook, NY

Apply for this job






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Profile

\u003cp\u003e\u003cstrong\u003e\u003cem\u003ePosition Summary\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e
\u003cp\u003eReporting to the Chief Compliance Officer, the Compliance Officer will be involved in a variety of projects to implement enhancements to the broker-dealer compliance program and assist the Chief Compliance Officer in meeting the Firm\u0026rsquo;s Securities\u0026rsquo; regulatory requirements.\u003c/p\u003e
\u003cp\u003e\u003cstrong\u003e\u003cem\u003e\u003cstrong\u003e\u003cem\u003e\u003c/em\u003e\u003c/strong\u003e\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e
\u003cp\u003e\u003cstrong\u003e\u003cem\u003e\u003cstrong\u003e\u003cem\u003eEssential Job Functions\u003c/em\u003e\u003c/strong\u003e\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e
\u003cul\u003e
\u003cli\u003ePerforms daily trade monitoring, including TRACE reporting monitoring and troubleshooting by analyzing, validating exceptions, following through to resolution as applicable.\u003c/li\u003e
\u003cli\u003eAnalyzes monthly TRACE report cards and implement corrective actions as needed.\u003c/li\u003e
\u003cli\u003eConducts Market Access (SEC Rule 15c3-5) implementation, review and annual testing.\u003c/li\u003e
\u003cli\u003eAnalyzes monthly reports pertaining to the Firm\u0026rsquo;s code of ethics (outside business activity, personal trading, gift and entertainment etc.) and escalate issues as needed.\u003c/li\u003e
\u003cli\u003eIdentifies and corrects potential areas of non-compliance and anticipated future compliance requirements.\u003c/li\u003e
\u003cli\u003eAssists in the development of compliance policies, programs as well as enhancement of Compliance\u0026rsquo;s surveillance, testing and monitoring activities.\u003c/li\u003e
\u003cli\u003eAssists in preparing for and responding to regulatory inquiries, examinations and internal targeted reviews; assist in remediating audit points and exam findings.\u003c/li\u003e
\u003cli\u003eReviews marketing material and draft and distribute compliance bulletins as needed.\u003c/li\u003e
\u003cli\u003eAssists in the planning and delivery of compliance training and provide ad hoc training as needed.\u003c/li\u003e
\u003cli\u003eAssists in the annual branch examinations, supervisory controls testing and annual compliance risk assessment process.\u003c/li\u003e
\u003cli\u003eAssists with tracking and implementation of new/amended regulatory requirements.\u003c/li\u003e
\u003cli\u003eAssists in all aspects of associated persons on-boarding/off-boarding.\u003c/li\u003e
\u003cli\u003eReviews the on-boarding of new clients and complete initial and ongoing AML reviews including review of KYC information collection, identification of beneficial ownership and required supporting documentation as necessary.\u003c/li\u003e
\u003cli\u003eSupports and manages procedures for the safeguarding of client records and information.\u003c/li\u003e
\u003cli\u003ePerforms other duties and projects as assigned.\u003c/li\u003e
\u003c/ul\u003e
\u003cp\u003e\u003c/p\u003e
\u003cp\u003e\u003cstrong\u003e\u003cem\u003eEducation\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e
\u003cp\u003eBachelor\u0026rsquo;s Degree in Business Administration or related field required.\u003c/p\u003e
\u003cp\u003e\u003cstrong\u003e\u003cem\u003e\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e
\u003cp\u003e\u003cstrong\u003e\u003cem\u003e\u003cstrong\u003e\u003cem\u003eExperience and Qualifications\u003c/em\u003e\u003c/strong\u003e\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e
\u003cul\u003e
\u003cli\u003eThree to five years of financial services compliance experience supporting broker-dealer Fixed Income businesses. Experience in HY and MBS trading a plus\u003c/li\u003e
\u003cli\u003ePrevious experience in Fixed Income trade surveillance highly preferred\u003c/li\u003e
\u003cli\u003eFamiliarity with SEC and FINRA regulations and the operations of an institutional broker-dealer (TRACE, Regulatory Filings)\u003c/li\u003e
\u003c/ul\u003e
\u003cul\u003e
\u003cli\u003eKnowledge of securities laws, rules and regulations applicable to investment advisers.\u003c/li\u003e
\u003c/ul\u003e
\u003cul\u003e
\u003cli\u003eStrong organizational, time management and problem solving abilities.\u003c/li\u003e
\u003c/ul\u003e
\u003cul\u003e
\u003cli\u003eStrong written and communication and interpersonal skills.\u003c/li\u003e
\u003cli\u003eProficiency in MS Office (Word, Excel, PowerPoint, Access).\u003c/li\u003e
\u003c/ul\u003e
\u003cul\u003e
\u003cli\u003eFINRA Series 7 and 24, a plus\u003c/li\u003e
\u003c/ul\u003e
\u003cp\u003e\u003cstrong\u003e\u003cem\u003e\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e
\u003cp\u003e\u003cstrong\u003e\u003cem\u003eOther Skills\u003c/em\u003e\u003c/strong\u003e\u003c/p\u003e
\u003cp\u003eAttention to detail, with the ability to analyze data, identify trends and escalate matters appropriately. Must demonstrate strong critical thinking skills and curiosity. Good independent follow-up skills. Organizational and time management skills; ability to multitask.\u0026nbsp;\u0026nbsp; Strong written and oral communication skills among difference business audiences; customer service oriented.\u003c/p\u003e
\u003cp\u003e\u003cem\u003e\u003cstrong\u003e\u0026nbsp;\u003c/strong\u003e\u003c/em\u003e\u003c/p\u003e

Company info

Hunt Companies
Website : http://www.huntcompanies.com/

Company Profile
Founded in 1947, Hunt is an industry-leading real estate company dedicated to building value through development, investment and management—focusing on the core areas of public private partnerships, community development, real asset investment management, and multifamily housing. We strive to improve everything we touch. A family company four generations deep, Hunt is firmly rooted in a legacy of leadership, integrity and trust. We stand by the work we do.

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