Compliance Officer - (US-NY-New York)

Compliance Officer - (US-NY-New York)

Compensation: $80K - $110K / Year
Minimum Education: Bachelors
Job Type: Full Time
Jobcode: W227776JA

Degree Required : 4 Year Degree

RESPONSIBILITIES: Seeking a compliance professional with compliance testing/surveillance background. Depending on experience, responsibilities will include some or all of the following: reviewing exception based surveillance reports to assess compliance with securities rules and regulations (e.g., NASD, NYSE and SEC) and Firm policies; participating in special projects and other Firm initiatives, as needed; gaining, as needed, increased understanding of equity businesses and regulatory requirements related to cash sales and trading, convertible sales and trading, derivatives trading and structured products; obtaining relevant securities licenses (e.g., Series 7, 63, 55). More senior candidates may also be responsible for managing business and technology development projects to ensure that the work product is compliant with applicable securities rules and regulations; developing and executing compliance test scripts and related UAT testing; understanding business goals, systems development issues and regulatory considerations to facilitate project completion; performing data analysis and assisting in data mapping; developing and maintain strong working relationships with the business and IT groups; tracking project status; and documenting testing plans and results.

REQUIREMENTS: 2 to 5 years of compliance experience at a broker-dealer or regulator. Effective oral and written communication skills. Ability to work under pressure in a fast pace environment. Ability to work well in a team-oriented environment. Possess strong documentation, organizational and time management skills. An understanding of equity compliance related rules and regulations, such as trade reporting, regulatory reporting (e.g., OATS, OTS and DPTR) and order handling rules. A basic understanding of the business and technology system development lifecycle is also preferred. Excellent interpersonal and communication skills. Basic understanding of order management systems preferred.

Email resume in Word to thebiggamehunter@cisny.com. Please include the job code for the position with your resume.

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

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