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Compliance Officer

Rye Brook, NY

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u003cpu003eu003cstrongu003eu003cemu003ePosition Summaryu003c/emu003eu003c/strongu003eu003c/pu003enu003cpu003eReporting 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 Firmu0026rsquo;s Securitiesu0026rsquo; regulatory requirements.u003c/pu003enu003cpu003eu003cstrongu003eu003cemu003eu003cstrongu003eu003cemu003eu003c/emu003eu003c/strongu003eu003c/emu003eu003c/strongu003eu003c/pu003enu003cpu003eu003cstrongu003eu003cemu003eu003cstrongu003eu003cemu003eEssential Job Functionsu003c/emu003eu003c/strongu003eu003c/emu003eu003c/strongu003eu003c/pu003enu003culu003enu003cliu003ePerforms daily trade monitoring, including TRACE reporting monitoring and troubleshooting by analyzing, validating exceptions, following through to resolution as applicable.u003c/liu003enu003cliu003eAnalyzes monthly TRACE report cards and implement corrective actions as needed.u003c/liu003enu003cliu003eConducts Market Access (SEC Rule 15c3-5) implementation, review and annual testing.u003c/liu003enu003cliu003eAnalyzes monthly reports pertaining to the Firmu0026rsquo;s code of ethics (outside business activity, personal trading, gift and entertainment etc.) and escalate issues as needed.u003c/liu003enu003cliu003eIdentifies and corrects potential areas of non-compliance and anticipated future compliance requirements.u003c/liu003enu003cliu003eAssists in the development of compliance policies, programs as well as enhancement of Complianceu0026rsquo;s surveillance, testing and monitoring activities.u003c/liu003enu003cliu003eAssists in preparing for and responding to regulatory inquiries, examinations and internal targeted reviews; assist in remediating audit points and exam findings.u003c/liu003enu003cliu003eReviews marketing material and draft and distribute compliance bulletins as needed.u003c/liu003enu003cliu003eAssists in the planning and delivery of compliance training and provide ad hoc training as needed.u003c/liu003enu003cliu003eAssists in the annual branch examinations, supervisory controls testing and annual compliance risk assessment process.u003c/liu003enu003cliu003eAssists with tracking and implementation of new/amended regulatory requirements.u003c/liu003enu003cliu003eAssists in all aspects of associated persons on-boarding/off-boarding.u003c/liu003enu003cliu003eReviews 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/liu003enu003cliu003eSupports and manages procedures for the safeguarding of client records and information.u003c/liu003enu003cliu003ePerforms other duties and projects as assigned.u003c/liu003enu003c/ulu003enu003cpu003eu003c/pu003enu003cpu003eu003cstrongu003eu003cemu003eEducationu003c/emu003eu003c/strongu003eu003c/pu003enu003cpu003eBacheloru0026rsquo;s Degree in Business Administration or related field required.u003c/pu003enu003cpu003eu003cstrongu003eu003cemu003eu003c/emu003eu003c/strongu003eu003c/pu003enu003cpu003eu003cstrongu003eu003cemu003eu003cstrongu003eu003cemu003eExperience and Qualificationsu003c/emu003eu003c/strongu003eu003c/emu003eu003c/strongu003eu003c/pu003enu003culu003enu003cliu003eThree to five years of financial services compliance experience supporting broker-dealer Fixed Income businesses. Experience in HY and MBS trading a plusu003c/liu003enu003cliu003ePrevious experience in Fixed Income trade surveillance highly preferredu003c/liu003enu003cliu003eFamiliarity with SEC and FINRA regulations and the operations of an institutional broker-dealer (TRACE, Regulatory Filings)u003c/liu003enu003c/ulu003enu003culu003enu003cliu003eKnowledge of securities laws, rules and regulations applicable to investment advisers.u003c/liu003enu003c/ulu003enu003culu003enu003cliu003eStrong organizational, time management and problem solving abilities.u003c/liu003enu003c/ulu003enu003culu003enu003cliu003eStrong written and communication and interpersonal skills.u003c/liu003enu003cliu003eProficiency in MS Office (Word, Excel, PowerPoint, Access).u003c/liu003enu003c/ulu003enu003culu003enu003cliu003eFINRA Series 7 and 24, a plusu003c/liu003enu003c/ulu003enu003cpu003eu003cstrongu003eu003cemu003eu003c/emu003eu003c/strongu003eu003c/pu003enu003cpu003eu003cstrongu003eu003cemu003eOther Skillsu003c/emu003eu003c/strongu003eu003c/pu003enu003cpu003eAttention 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/pu003enu003cpu003eu003cemu003eu003cstrongu003eu0026nbsp;u003c/strongu003eu003c/emu003eu003c/pu003e

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