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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:
  • MS WORD Resume
  • required compensation
  • Contact information
  • Availability
Upon receipt, I will contact you to schedule a convenient time to discuss the position.

Michael Jude 
EMAIL: Mike@intermediagroup.com 
VOICE: 347-303-5641 (Mobile 24/7)
LINKEDIN: https://www.linkedin.com/in/michael-jude-3062161a3/ 
WEB: www.intermediagroup.com

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