Active Series 7 and 24 - Broker Dealer Operations with AML / Compliance
New York City, NY
JOB TITLE: Broker Dealer Operations with AML / Compliance and 'ACTIVE' Series 7 and 24 LOCATION: Currently remote (the office is located in the World Trade Center in NYC)
Our client, a rapidly growing Fintech firm is looking for an Operations Associate(s) to join the Retail Broker Dealer Division. This employee will assist in the processing of retail operations for the company’s main Retail Broker-Dealer businesses, including its surveillance and AML program.
Ideal candidate will have traditional finance experience, wants to join a growing team, and think strategically about improving efficiency and synergizing different tools to streamline processes.
Interest and familiarity in blockchain technology is a plus.
JOB RESPONSIBILITIES Work with the Director of Operations and other key team members to execute and enforce the compliance program for the Retail Broker-Dealer business:
Perform risk assessments, monitoring and surveillance activities, and project management to ensure that clients and staff are compliant, and that the program remains current and aligned with the Enterprise-wide Compliance Program.
identify activity and if necessary initiate AML escalations and work closely with the AML Officer to discuss escalations and report appropriately
Ex: SARS filings
Perform ongoing validation of monitoring strategies to ensure appropriate governance and control.
Identify trends and provide recommendations to optimize compliance &processes.
Review and approve inbound and outbound funding requests from clients.
Communicate directly with clients via Salesforce to review and respond to inquiries and requests
Review and approve account applications
Ensure that the front end systems & interfaces function properly, and communicate with other related networks
Review client trading and order book to identify any risks or issues, ex: trade rejects, trading outages, and potential manipulative trading
Collaborate with developers to create & identify system enhancements to expedite efficiency
Report findings to Legal and Global Compliance and provide timely follow-up on outstanding issues.
Perform other duties as required and assigned by manager and upper management.
Resolve any noted discrepancies with our vendors and service providers
Must hae ACTIVE FINRA Licenses: Series 7 and Series 24
Experience in a broker dealer operations role
Experience in the equity markets
Excellent oral and written communication skills
Ability to multitask while paying high attention to detail
Able to work independently and efficiently in a fast moving environment with tight deadlines
Exceptional thought-provoking team player
If you are interested in pursuing this opportunity, please respond back and include the following: