Compliance Officer NYC

Compliance Officer

 
Job ID: Job-1626       
Job Title:      Compliance Officer     
location:       New York, NY   
Jobtype:        Permanent      
               
Description:    Compliance officer to advise on the regulatory and compliance aspects of US and foreign equity related matters including, trade reporting, underwriting, Rule 10b-18 buy back programs, Reg. SHO, securities lending, best execution, mark-ups/mark-downs, testing and monitoring. 

· Conduct surveillance of equity transactions for market abuses and compliance with supervisory requirements. 
·Advise on globally branded research issues including Rule 2711, Reg. AC, and developing appropriate disclosures and disclaimers. 
·Advise on Rule 15a-6 and administer procedures controlling activities of foreign affiliates in the US. 
·Advise on equity capital market issues that involve 144A and Reg. S, private placements, prospectus delivery. 
·Assist in running the Control Room by maintaining Watch and Restricted Lists, implement over-the-wall procedures, check for conflicts of interest, and monitor information barriers. 
·Develop written supervisory procedures and training materials for staff. 
·Perform general compliance duties including email review and monitor employee trading. 


EXPERIENCE 
The ideal candidate will have at least five years of directly relevant broker dealer compliance experience. 
Strong knowledge of US securities laws and regulations including FINRA, SEC and the Securities Act of 1933 and Securities Exchange Act of 1934. 
Knowledge of broker dealer products and services including equities, fixed income, structured products, investment banking, underwriting and M&A. 
Series 7 or 79, and 24 strongly preferred. 

SKILLS REQUIRED 
Strong analytical skills and ability to articulate regulatory guidance to staff and management. 
Ability to multi-task and deliver projects under deadline. 
Excellent organizational skills, high degree of attention to detail and delivery of a quality work product. 

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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