NYC Broker-Dealer Compliance Officer

at  Dawn Taylor Associates

New York, NY 10168, USA -

Start DateExpiry DateSalaryPosted OnExperienceSkillsTelecommuteSponsor Visa
Immediate09 Oct, 2024USD 200000 Annual11 Jul, 20247 year(s) or aboveSec Regulations,Regulatory Examinations,Research,Investment,TradingNoNo
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Description:

Our client, a prestigious Broker Dealer, seeks a Compliance Officer for their midtown NYC office. This is a highly visible role reporting to the Chief Compliance Officer.

Responsibilities:

  • Hands-on role providing support to Equity Sales and Trading, Research and Investment Banking. Respond to internal compliance requests and external audits, interact with sales, traders, bankers, and regulatory authorities. Liaise with international compliance teams.

Qualifications:

  • Bachelor’s Degree, MBA or JD preferred
  • 5-7+ years of U.S. broker dealer compliance expertise monitoring equity sales, trading, research and investment banking.
  • Knowledge of SRO and SEC regulations
  • Proven ability to deal with audits and regulatory examinations
  • Experience working in a fast-paced environment with ability to multi-task and work independently

$125K-$200k + Bonu

How To Apply:

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Responsibilities:

  • Hands-on role providing support to Equity Sales and Trading, Research and Investment Banking. Respond to internal compliance requests and external audits, interact with sales, traders, bankers, and regulatory authorities. Liaise with international compliance teams

REQUIREMENT SUMMARY

Min:7.0Max:12.0 year(s)

Financial Services

Accounts / Finance / Tax / CS / Audit

Finance

MBA

Proficient

1

New York, NY 10168, USA