Compliance Consultants - (US-NC-Charlotte)

Compliance Consultants - (US-NC-Charlotte)

Compensation: $60.00 - $62.00 / Hour
Minimum Education: Bachelors
Job Type: Full Time
Jobcode: RAW3462851JA

Supports the Interest Rates Risk Management (IRRM) businesses, which include Derivatives Sales & Trading, Treasury Sales & Trading and Agency Trading. The position may provide some support for Asset-Backed Finance and Principal Investing, if needed. 

Basic Qualifications 
6+ years compliance experience. 

Minimum Qualifications 

6+ years experience working in a capital markets and/or derivatives environment. 
2+ years compliance experience supporting futures or listed options. 
Direct compliance experience is desired; however, experience or expertise in allied fields, such as legal, finance, operations or audit will be considered. 
Knowledge of FINRA, NFA, CFTC and applicable rules. 
Demonstrated research skills and oral and written communication skills. 
Ability to meet deadlines and work under pressure in a fast paced environment. 
Ability to work well in a team-oriented environment. 
Ability to demonstrate strong documentation, organization and time management skills. 
Ability to prioritize and escalate issues appropriately. 
Ability to work a flexible schedule given the needs of the business and possess excellent interpersonal and professional skills. 

Preferred Skills 
Four year college degree. 
Knowledge of SEC, FRB, OCC rules 
Hold Series 3, 7, 63 and 24 or obtain within one year 


Please quote your best rate and email a resume in Word that makes it obvious how you match the specification 

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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