Job Overview:
We are seeking a highly skilled and detail-oriented Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring that our organization operates in accordance with all relevant laws, regulations, and internal policies. You will play a critical role in maintaining our company's integrity and reputation.
Duties:
- Conduct internal audits to assess compliance with regulatory requirements
-Correspond with regulators concerning Audits or Inquiries.
- Review communications and correpondence
-Review Trade activity
- Develop and implement policies and procedures to ensure compliance with applicable laws and regulations
- Monitor changes in laws and regulations and communicate updates to relevant stakeholders
- Provide guidance and training to employees on compliance-related matters
- Collaborate with cross-functional teams to address compliance issues and implement corrective actions
- Conduct risk assessments to identify potential compliance risks and develop mitigation strategies
- Prepare and submit regulatory reports as required
- Stay up-to-date on industry best practices and emerging trends in compliance
Qualifications:
- Bachelor's degree
- Minimum of [3] years of experience in compliance in the brokerage world
- Strong knowledge of FINRA Broker Dealer regulations, Regulation BI and SEC investment Advisory Rules
- Excellent analytical skills with the ability to identify potential compliance risks
- Strong attention to detail and ability to work independently
- Excellent communication skills, both written and verbal
If you are a highly motivated individual with a strong commitment to compliance excellence, we encourage you to apply for the position of Compliance Officer. Please submit your resume and cover letter detailing your relevant experience.
Job Type: Full-time
Pay: From $50,000.00 per year
Schedule:
- Monday to Friday
- Weekends as needed
Experience:
- Microsoft Powerpoint: 1 year (Preferred)
Ability to Commute:
- New York, NY 10017 (Preferred)
Ability to Relocate:
- New York, NY 10017: Relocate before starting work (Required)
Work Location: In person