Compliance Manager

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.

  • 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. 
Required Qualifications:
  • FINRA Series 7 and 24 Preferred
  • 5+ years experience working in Broker-Dealer Compliance
  • In office daily
If you meet the required qualifications and are interested in this role, please apply today. 

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