Senior Compliance Officer # COM12

posted on: 31 Jan 2018


Description: Attractions:  
If you are a driven individual and looking to join a dynamic flourishing company, this is the role for you.   

A financial institution with a focus on bonds is seeking a Compliance Officer to oversee the daily compliance functions pertaining to FINRA, MSRB and SEC regulations and standards. Review and approve non-financial disclosures to ensure compliance with federal securities regulations (i.e. final marketing materials, request for proposals, client communications, client questionnaires and regulatory filings. Be the principal point of contact for any government investigations. Collaborating with other departments to resolve compliance issues . Experienced with compliance needs of a full-service mid-size retail broker-dealer.   

Requirements: Series 24 Minimum of 5 years of experience in design, implement and manage in all areas of compliance, including firm policies and compliance with all federal and state regulations.     Benefits Competitive compensation. Full medical and dental benefits 401(k) plan with company match Open and supportive team environment   

Send resume or contact  in confidence  for more details at bjacobs[at]
Type: Compliance
Level: Other
Compensation: unspecified
State: New York City:
Telephone: Email:
Recruiter Name: Brian Jacobs