Associate Compliance Officer w heavy AML and Series 7
New York City, NY
TITLE: Associate Compliance Officer w heavy AML 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 Associate 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 C Suite to develop and implement the compliance program for our Retail Broker-Dealer business.
Performs risks assessments, monitoring and surveillance activities, communications reviews, 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.
4+ years’ experience in a compliance role
Experience at a retail broker dealer
Strong people skills highlighted by the ability to coach and develop others and work with senior employees.
Excellent written and oral communication skills
Able to work efficiently under pressure
Knowledge of daily trading, client contact and client entertainment
Exceptional thought-provoking team player
Ability to work independently with little or no supervision
Capable of translating senior staff members instructions into tangible and viable work product
Series 7 - prefer candidates with an active series 7 but can get a waiver if the series 7 is expired in the recent 2-3 years
CAMS Certification a plus
FINRA licenses or certifications a plus
Series 24 within 1 year of service
Bachelor’s Degree desired
If you are interested in pursuing this opportunity, please respond back and include the following: