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COMPLIANCE DIRECTOR – JD QUALIFIED WITH FINRA & BROKER DEALER EXPERIENCE (FROM IN HOUSE COMPLIANCE, LAW FIRM OR REGULATORY BODY) REQUIRED

$150K - $175K + Benefits & Bonus | New York City
Ref: 3768D

North America / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

Reporting directly to the Chief Compliance Officer of a major overseas Bank, the Compliance Director will play a lead role in all aspects of the Bank’s operational and regulatory compliance programs and will work closely with members of the Compliance team covering a broad range of broker-dealer and regulatory compliance work. Major areas of responsibility include:     

  • Participating in the regulatory examination process, including preparing regulatory responses and interacting with regulatory contacts. 
  • Supervising maintenance and review of trade surveillance alert systems. 
  • Resolving system generated trade surveillance and best execution alerts 
  • Updating procedures related to trade surveillance 
  • Updating system internal user guide 
  • Communicating with system experts to resolve issues and make enhancements 
  • Supervising management and maintenance of employee personal trading system and procedures 
  • Resolving system generated alerts 
  • Resolving data load errors 
  • Updating system internal user guide 
  • Communicating with system experts to resolve issues 
  • Updating compliance policies and procedures 
  • Leading compliance reviews, testing and monitoring, and recordkeeping 
  • Preparing and submitting required regulatory filings 
  • Interfacing with the business team and other management and compliance personnel on regulatory compliance matters. 
  • Conducting regulatory research on various regulatory and compliance matters affecting the Firm 
  • Special projects as assigned 

You should be JD qualified with at least five years relevant experience including good knowledge of FINRA regulations particularly as they apply to Broker Dealers, whether gained from an in-house Broker Dealer compliance department, a Law Firm specialist team or a Regulatory Body. Please note the role is based remotely at the moment but then regular attendance at the office in NYC will be expected. US citizens only please. 

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com however please note due to COVID-19 we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).  

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