FinTech Broker/Dealer Compliance Manager
Salary $65,000 - $100,000 per year
Location New York, NY, USA
Consultant Lucky Nguyen
JobRef 111862/0012019-06-18 2019-08-04 financial-services permanent US New York City New York 10036 USD 65000 100000 100000 YEAR Robert Walters https://www.robertwalters-usa.com https://www.robertwalters-usa.com/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
A prominent financial technology firm is looking to expand their broker/dealer compliance team with an associate level candidate.
- Support the day-to-day compliance activities pertaining to the broker/dealer
- Assist in the preparation of regulatory filings (e.g., Form BD, U4, U5), and responding to regulatory inquiries - including the preparation of responses to regulatory affairs and examinations.
- Maintenance of written policies and procedures including business continuity plan and continuing education plans.
- Identify potential areas of compliance vulnerabilities and risks for the firm’s 3120/30 annual report and draft the report
- Maintaining materials for the annual compliance meeting and delivering firm-wide trainingCandidates should have an impressive record of achievement and at least two years of relevant work experience that includes compliance exposure to broker-dealer operations and/or AML matters.
- The position requires familiarity with relevant portions of key broker-dealer laws and regulations, such as the Securities Exchange Act and FINRA regulations, as well as a desire to expand working knowledge of consumer compliance regulations applicable to financial services.
- Experience with SEC and FINRA compliance regulations
- 1-4 years of generalist broker/dealer compliance experience
- Series 7, 63, 24