Equities Compliance Executive NYC to $130000 plus bonus CODE MHCRJA4

Key Responsibilities	Leadership and management support activities including but not limited to: ·         Develop and maintain strong working relationships within  Compliance and with business compliance and legal and business contacts. Regulatory Compliance activities including but not limited to: ·         Accountable for providing daily regulatory advice and guidance regarding regulations, exchange rules and local and global internal policies. ·         Accountable for keeping abreast of upcoming, new and revised rules, regulations and directives relevant to the business activities and implementing changes as required.  This includes proactive and early communication with business and compliance stakeholders to ensure timely compliance with any changes required. ·         Drafting and implementing new policies, procedures and maintenance and regular review of existing policies and procedures. ·         Oversight and testing of compliance related policies, procedures and activities related to the regulated and unregulated activities undertaken in the Americas. ·         Escalation of compliance issues as required and reporting of any regulatory or internal exceptions and regulatory audits in accordance with the local regulatory requirements and global policies for reporting through management and the board and board committees. ·         Develop and maintain process for tracking regulatory inquiries with business compliance and legal input. ·         Assist with the preparation of responses to regulatory requests and inquiries as required. ·         Conduct ongoing compliance training as required. ·         Perform specialized audits and reviews for compliance with local rules ·         Manage ad hoc or special projects as required.
Skills and Attributes	·         Significant experience in a compliance or legal role at a U.S. broker/dealer or U.S. regulatory organization. ·         Knowledge of regulatory developments (SEC (’34 Act), FINRA and U.S. Exchange rules) and changes affecting U.S. broker/dealers. ·         Strong analytical ability, judgment and administrative skills. ·         Proven ability to balance the need to switch between being immersed detailed day to day activity and longer term activities and objectives. ·         Proven ability to sustain high level of performance under pressure with short deadlines etc. ·         Superior interpersonal and relationship building skills to build strong relationships with clients and stakeholders across all levels, including with external parties. ·         Effective communication skills including strong written communication ·         Enthusiasm, motivation and the ability to be proactive ·         Series 7 holders preferred
Key Relationships	·         Senior business managers and equities teams ·         Compliance teams, globally ·         Business compliance and legal teams

 

Email resume in Word to thebiggamehunter@cisny.com  ONLY IF YOU HAVE THE EXPERIENCE SOUGHT. Please include the job code with the position.

NO RELOCATION. NO VISA TRANSFERS. NO 3RD PARTIES. NO OVERSEAS RESUMES.

Sign up to receive a daily digest of positions around the United States or search open jobs we are recruiting for at www.jeffaltman.com. While there, subscribe to Head Hunt Your Next Job, Jeff Altman, The Big Game Hunter's free job search ezine, Natural Selection, his ezine for employers, use Job Search Universe, the job lead search engine that searches thousands of job boards and career pages worldwide, and learn about my VIP personal search agent services.

______________________________________________________________________
This email has been scanned by the MessageLabs Email Security System.
For more information please visit http://www.messagelabs.com/email
______________________________________________________________________