- Advise and provide support to relevant business units on compliance issues specific to account onboarding and trading of institutional and entity accounts.
- Oversight of investment banking, capital markets and institutional business activities
- including, but not limited to , regulatory filings (e.g. Reg M, 5123), Rule 606, etc. Ensure company procedures are being followed.
- Review policies and procedures to ensure compliance with relevant rules & regulations. Recommend changes to the CCO.
- Serve as back up to other compliance staff in their absence (e.g., AML review, U4
- updates, foreign and domestic retail accounts etc).
- Respond to regulatory (e.g. 8210, cause exams), due diligence questionnaires and independent audit requests
- Assist in the review of electronic communications to ensure that all regulatory and
- internal communication policies are adhered to.
- Assist in other matters as requested by the CCO.
- FINRA Series 7 and 24 Preferred
- 5+ years experience working in Broker-Dealer Compliance
- In office daily
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Compliance Manager - New York, United States - Solomon Page
Description
We are working on a new Compliance Manager role with a Broker-Dealer client in lower Manhattan. Our client is a full-service, integrated financial services firm that provides investment guidance for high-net-worth individuals and institutions. The position is an add to staff as the firm continues to grow.
Responsibilities:
Required Qualifications:
If you meet the required qualifications and are interested in this role, please apply today.
The Solomon Page Distinction
Our teams, comprised of subject matter experts, develop an interest in your preferences and goals and we act as an advisor for your career advancement. Solomon Page has an extensive network of established clients which allows us to present opportunities that are well-suited to your respective goals and needs – this specialized approach sets us apart in the industries we serve.
About Solomon Page
Founded in 1990, Solomon Page is a specialty niche provider of staffing and executive search solutions across a wide array of functions and industries. The success of Solomon Page reflects an organic growth strategy supported by a highly entrepreneurial culture. Acting as a strategic partner to our clients and candidates, we focus on providing customized solutions and building long-term relationships based on trust, respect, and the consistent delivery of excellent results. For more information and additional opportunities, visit: and connect with us on Facebook, and LinkedIn.
Opportunity Awaits.
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