Employment Spot

Job Description

Classification: Full-time

Compensation: Pay up to $80000 per year

Major International Investment firm, New York, NY seeks Compliance Officer, Capital Markets.
DESCRIPTION: 1) Personal Account Dealing a) Participate in the review of monthly/quarterly employee accounts statements for appropriateness - exercise independent judgment as related to the activity and escalate issue and violation of policy to the CCO b) Coordinate with NY Branch and CM Group Compliance c) Respond to employee and management inquiries regarding information barriers and related firm policy and procedures. 2) Develop and implement training for CM Group and the firms SI Staff including BSA/AML and Regulatory Firm Element required training. 3) Responsible for licensing and registration function for the firms employees. Maintain various related tracking logs. Serve as Administrator for FINRAs WebCRD System. 4) Compliance Testing and Monitoring Program. Responsible for assigned Compliance Surveillance Reviews and testing covering applicable Federal Reserve Banking regulations as well as Broker Dealer Rules (FINRA and SEC) (e.g., telephone recording review, email surveillance, Reg L certifications, AML/BSA, etc. 5) Assist with the development and implementation of standardized global Compliance Manual covering CM Group based in NY, LN, and HK. Create/enhance Compliance Policies and Desk procedures for CM Group and the firms-SI. 6) Provide advice to management and staff on regulatory and internal compliance issues and procedures. 7) Sanctions/Terrorist Checking, (Secondary Responsibility);
• Act as back-up point of contact and coordinate firms CM Group and SI's
sanctions and terrorist checking within the framework
• Coordinate search of all the relevant client
databases/systems/spreadsheets for any potential matches for our
client-base
• Notify management of significant changes to client
databases/systems/spreadsheets
• Where a match(es) is identified, provide CCO with further information
(where available) regarding the client and its transactions.
8) Assist in the preparation internal and external reporting requirements
included: to Head Office, the Regional Compliance Officer (CCO, NA), FINRA, Fed and State. 9) Assist with preparing documentation and responding to regulatory examinations and internal Audit reviews. 10) Special projects as assigned by Dept. Head and Manager.
Base salary $60,000 to $80,000 plus bonus. IMMEDIATE HIRE***
Please contact: Rocco J. Tufo
Attach resume: [Click Here to Email Your Resumé]

Founded in 1948, Robert Half Finance & Accounting is the world's first and largest specialized financial recruitment service. We specialize in placing experienced professionals in all areas of accounting, finance, credit and collections, bookkeeping, payroll, audit and taxation. For more than 60 years, we have developed lasting relationships with the industry-leading companies we serve, which gives us access to the best career opportunities for our candidates.

Our parent company, Robert Half International (NYSE: RHI), was the first company in the staffing industry to be added to the S&P 500. We are consistently named to FORTUNE® magazine's "World's Most Admired Companies" list and the Forbes Platinum List, and were recently added to The Forbes Global 2000 listing of the world's largest companies. Robert Half Finance & Accounting is an Equal Opportunity Employer.

Job Requirements

EXPERIENCE: 2-5 years of General Compliance experience with knowledge of Federal Reserve Banking and Broker Dealer Rules and Regulations.
SKILLS: Strong verbal and written communication skills. Ability to work independently as well as part of a team. Fast learner and ability to apply new skills effectively. Ability to multitask and prioritize multiple projects. College level degree and Series 7 A MUST.***
The candidate should have a working understanding of Anti-Money Laundering and Bank Secrecy Act requirements including account opening and client due diligence procedures. The candidate should understand the compliance requirements of broker-dealers and how to develop and implement an effective compliance program that will accomplish several objectives
including:
• Maintaining and developing effective compliance policies and
procedures to prevent violations of rules or laws in effect by
federal or state agencies and SRO's
• Perform surveillance reviews to detect compliance issues as they
occur
• Enforce actions that immediately correct compliance issues.