TITLE: Senior Compliance Officer with AML / ACAMS Cert and Series 7 EMPLOYER: Retail Brokerage Division of a leader in blockchain technology for capital markets LOCATION: Currently Fully REMOTE until Summer 2022, then Hybrid On Site in New York City (World Trade Center)
The Compliance Officer will be part of our client’s Retail Broker-Dealer division. This role is critical to the vision of the company’s core value proposition to its Retail Broker-Dealer clients. This employee will oversee all aspects of compliance strategy and operations for the company’s main Retail Broker-Dealer businesses, including surveillance and AML program.
Work with the Chief Legal Officer and C Suite to develop and implement the compliance program for our Retail Broker-Dealer business.
Performs risks assessments, monitoring and surveillance activities, and project management to ensure that the compliance program remains current and aligned with the Enterprise-wide Compliance Program.
Handle AML escalations and work closely with the AMLCO and Chief Compliance Officer to decision escalations and report appropriately
Perform ongoing validation of monitoring strategies to ensure appropriate governance and control.
Identify observations of trends and recommendations to optimize data.
Execute appropriate testing and analyze key performance indicators to confirm requirements of the business policies and programs are maintained at a level commensurate with regulatory expectations
Support root cause analysis in response to material control failures in the business.
Prepare complete, accurate documentation of compliance monitoring and surveillance activities
Report findings to the Legal and Global Compliance and provide timely follow-up on outstanding issues.
Perform other duties as required and assigned by manager and upper management.
Follow legal policies as directed.
7+ years experience in a compliance role
Experience in the equity markets at a clearing broker-dealer
Ability to help recruit top talent by expressing a strategic vision and creating a sense of professionalism and comfort
Ability to inspire and develop the administrative and support personnel to their fullest potential (performance review and career development, training, business planning, organizational skill sets).
Strong people development skills highlighted by the ability to coach and develop staff.
Demonstrated ability to delegate (and to hold people accountable for performance) and to lead, motivate and influence others both up and down the organization.
Ability to make tough people decisions and to implement best performance management processes
Excellent communication and negotiation skills
Outstanding leadership skills and operating experience.
Able to work efficiently under pressure
Knowledge of daily trading, client contact and client entertainment
Exceptional thought-provoking team player
Building up a new item, business schemes and a new flow of business
Active ACAMS certification
Series 7 Requried
Series 63 or other FINRA licenses or certifications a plus
Series 24 within 1 year of service
Bachelor’s Degree Required
If you are interested in pursuing this opportunity, please respond back and include the following: