Compliance Officer
Salary undisclosed
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Our client, a well-known financial services firm in Midtown, NY, is looking for a Regulatory Compliance Manager to join their Broker Dealer team! Responsibilities of this position include implementing and managing new regulatory policies and procedures, researching new regulatory guidelines to ensure firm compliance, and facing off with FINRA, NFA, and CFTC regulators. The ideal candidate with come with 7-10 years of regulatory compliance experience from another Broker Dealer, a strong understanding of NFA and CFTC regulations, and exceptional communication skills.
Responsibilities Include:
- Constant research of new and upcoming regulatory mandates to advise and ensure company compliance
- Implementing and mandating new regulatory policies, procedures, and compliance programs
- Facing off with NFA and CFTC regulators during regulatory exams
Requirements:
- 7-10 years of regulatory compliance experience for a reputable broker dealer
- Exceptional regulatory knowledge, especially CFTC and NFA rules
- Strong written and verbal communication skills
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