Compliance Opportunities Broker-Dealers

1.) Make a move into a choice position...International Wealth Management Banking powerhouse is seeking a Compliance Officer.

Responsibilities:Review of marketing, sales literature, and advertising materials related to investment advisor, private funds, and mutual fund businessPerform regular monitoring of the sales and shareholder servicing activities of the mutual fund’ss registered Broker-Dealer entity including e-mailReview and revise compliance policies and procedures for marketing of separately managed accounts, private funds, and registered fundsConduct in-house reviews to test compliance policies and procedures related to sales and coordinate follow-up action by affected departmentsAssist in regulatory exams and handle requests for information, and liaise with Broker-Dealer clients on compliance related mattersInvestigate customer complaints regarding breaches of Firm policies and procedures and administer NASD complaint reportingConduct regulatory and compliance training for registered representatives.

Qualifications:4-8 years investment company compliance experience with knowledge of the NASD Rules and Regulations and the IA Act of 1940Experience with a medium to large sized financial services firm with diverse businesses (e.g., Broker-Dealer, investment adviser, investment companies) preferredSeries 7, Series 24Bachelor's Degree or equivalent experience (3680)

2.) Cutting-edge Investment Services Firm is seeking a Compensation Analyst to assist in the development, implementation and administration of compensation programs and HRIS data management reporting.

Responsibilities Also Involve:Contribute both analytically and administratively to the annual merit review, annual year-end incentive review, annual functional title review, and other recurring and ad hoc initiativesConduct job analysis, including analyzing job data and market data, as well as writing job descriptionsParticipate in a variety of HR initiatives both within and outside the realm of Compensation or HRISAct as liaison with performance management project manager and with HR score card project managerMaintain the HR Access database using PeopleSoft queries and interacting with HR Generalists and colleagues

Qualifications:2+ years compensation or HRIS data reporting experienceExperience creating, maintaining and analyzing a variety of data reports and HR management reports on various employee demographicsExperience with PeopleSoft HRIS system, Microsoft Access, Excel and Word; Crystal Report Writer a plus Bachelor’s Degree in business or HR management preferred (3667)

3.) Compliance Officer and Adviser needed NOW for global Banking Giant to support the PWM business areas, focusing on MSRB rules relating to political contributions (Rule G-37), SRO rules and regulations relating to gifts and entertainment (NASD Rule 3060, NYSE Rule 350, MSRB Rule G-20), and rules and regulations relating to the conduct of lobbyist activities (various state lobbyist registration requirements).

Responsibilities:Develop and update policies, procedures and methodologies for complying with rules, regulations and industry standards relating to political contributions, gifts and gratuities, and lobbyist activitiesMaintain lists of MFPs, collect quarterly certifications, and file applicable MSRB forms in connection with municipal activitiesDevelop standards and precedents for staff giving -receiving gifts, gratuities and political contributions, and develop and manage (in conjunction with the Monitoring, Surveillance & Investigations group) a related monitoring programProvide training to staff relating to political contributions, gifts-gratuities, and lobbyist activities

Qualifications:5+ years experienceStrong written communication skillsStrong analytical skillsBackground in rules-regulations relating to political contributions, gifts and gratuities, and lobbyist activities strongly preferredLaw Degree (3654)

4.) Leading Market Making Firm seeks Director of Compliance to ensure through education, surveillance and enforcement compliance with the various laws, policies, and ethical standards governing its business.

Responsibilities:Analyze compliance programs to determine their adequacyDraft written supervisory proceduresSupervise AML ComplianceKeep management as well as employees aware of new regulations to develop or improve compliance policiesConduct routine surveillance and enforcement of the firm and employee compliance with federal, state and self-regulatory laws as well as internal policiesRespond to inquiries from regulatory agencies with respect to investigations, routine surveillance, and other compliance related issues to protect the firm and individuals from any regulatory actionsInvestigate and respond to customer complaints and inquiries in an appropriate manner

Responsibilities:5+ years in the securities industrySeries 7, 24, 55 and 63College degree or equivalent working experience10+ years experience in the securities industry with an in-depth knowledge of the equities market and the rules and regulations governing the securities market preferred (3642)

5.) Investment bank with global presence seeks an EQUITY COMPLIANCE ANALYST with experience in PRIME SERVICES (prime brokerage, global trading, prime solutions, risk management, managed lending). This position offers a prestigious title and serious potential for career advancement. (3613)

6.) Global Financial Services Provider seeks an energetic, self-starter to join its EQUITY TRADING COMPLIANCE area. The ideal candidate will have experience with OTC markets, exception reports, TMMS exams, and responding to requests from traders. (3500)

7.) Opportunities in registration at top firms in New York and New Jersey! If you have experience with U-4’s, U-5’s and CRD, apply today! (2899)

8.) First-rate Securities and Investment Firm seeks Human Resources Development Specialist.

Responsibilities:Managing leadership and development initiatives such as:Managing and assessing the overall effectiveness of Executive Breakfast and Lunch sessions as a means to improve strategic and business dialogue across organizational levelsManage the day-to-day facilitation of curriculum-driven ALP and AVP development programs for high performing Directors, VPs and AVPsOversee the matching process and the effective implementation of mentoring programsAssist with Organizational Development initiatives

Qualifications:5+ years working closely on Leadership initiatives/activitiesProject Management, organizational, problem-solving and analytical skillsKnowledge of Lotus Notes, PowerPoint and MS WordKnowledge in needs assessments/interviewing techniquesBachelor's Degree (3477)

9.) VP - Regulatory Compliance Officer wanted for paramount Investment Services Firm. The candidate will be responsible for responding to requests for information from regulators and for the co-management of regulatory examinations and detailed analysis of the information being requested.

Qualifications:Experience (at an SRO preferred) working with and responding to requests from regulatorsStrong understanding of securities trading, operations, or bothExcellent verbal and written communication skillsGood management skillsComputer proficiency (3506)

10.) Privacy Compliance Professionals of all levels needed to develop data protection policies for financial services firm. The ideal candidate will have a few years of IT experience as well as some privacy compliance experience. (3256)

11.) Major Broker-Dealer seeks CONTROL ROOM COMPIANCE OFFICER to coordinate GLOBAL WATCH and RESTRICTED LIST with regard to investment banking, corporate lending, private equity; conduct compliance training. (2728)

12.) Broker-Dealer located in Jersey City seeks Counsel - VP Level to handle civil litigation and general brokerage inquiries.

Qualifications:Admission in New York or New Jersey (or be eligible for admission) with a degree from a recognized law schoolRelevant experience at a law firm, regulatory organization or brokerage firm (3367)

13.) One of the world's leading providers of brokerage services, with offices in key financial centers, that acts both as a broker of futures, options and other equity derivatives for both institutional and private clients, as well as an intermediary in the world's metals, energy, and foreign exchange markets, seeks a Compliance Officer to work closely with the chief compliance counsel and provide regulatory support for the broker dealer. (3553)

14.) Opportunities for Compliance Professionals with DESK REVIEWS or BRANCH EXAMINATIONS experience. (3167)

15.) Diversified Financial Services Firm with over $100 billion assets under management seeks a Compliance Officer to focus on day-to-day testing and verification of the compliance program. The Compliance Officer will work directly with the Regulatory Counsel and travel roughly two times a quarter to satellite office locations.

Requirements:2+ years of experience in investment advisory complianceSome broker-dealer compliance experience will be consideredRegistration and personal trading experienceFamiliarity with the Books and Records Requirement (3552)

16.) Expanding Investment Services Firm seeks an expert in broker dealer AML issues for Vice President Level position.

Responsibilities:AML surveillance, OFAC surveillance and customer identification for designated customersResearch systems, reports and recordsExtensive interactions with numerous departments within the firm, as well aswith the introducing broker dealersRespond to real-time requests for information and regulatory inquiries while also providing research assistance (3571)

17.) AVP - AML Compliance Manager sought by top-tier Northern New Jersey Bank to oversee and manage its Anti-Money Laundering Program, ensuring that the Bank complies with all aspects of the Bank Secrecy Act and Anti-Money Laundering laws and regulations.

Responsibilities:Monitor the activity of high risk customers and accountsCompliance matters such as: Gramm-Leach-Bliley, HMDA and CRA reporting and special projectsEnsure all appropriate employees receive training regarding AML-related issues, the bank's AML compliance program and procedures, and regulatory requirements of the BSA and the USA Patriot ActAct as internal administrator and troubleshooter for automated CIP system (Lexis Nexis)

Qualifications:Broad knowledge of AML, CRA and other applicable regulatory rules and regulations ACAMS CertificationUnderstanding of compliance monitoring techniques8+ years experience in the banking business with a preferred specific focus in compliance, retail operations, or auditing functionsProficiency with various software programs including word processing and spreadsheet applications (3589)

18.) Leading Broker-Dealer seeks FIXED INCOME COMPLIANCE OFFICER to support and develop an ongoing review plan for the firm’s fixed income sales and trading desks. 5+ years compliance experience, please. (2773)

Please send all resume attachments in Word document format. Thank you.

Please visit our website at www.complianceHQ.com for a complete listing of our openings that will enhance your career.

LEGEND GLOBAL SEARCH

Cynthia Morel
212-293-8920 (phone)
212-293-8925 (fax)
[Click here for email]
REQUIREMENTS
Please see Job description.