*** No visa sponsorships supported ***
JOB DESCRIPTION
The company is looking for a motivated and talented compliance officer who is familiar with securities and commodities regulatory issues and has appropriate experience at a regulatory agency, exchange or law firm. In particular, they are looking for someone with a wide range of expertise in various product types and back office functions.
Responsibilities:
The Compliance Officer – Special Products and Back Office will be responsible for:
- Handling regulatory issues related to a variety of product types and services, such as foreign exchange, mutual funds, bonds, stock lending and margin.
- Providing compliance coverage for certain back-office functions, including Clearing.
- Coordinating with other departments on customer protection regulations (good control locations, no-lien letters, and proprietary accounts).
- Meeting with and responding to examiners from the SEC, FINRA, CFTC, CME and other regulatory requests.
- Assessing the firm’s existing internal controls against regulatory requirements and expectations.
- Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers and futures commission merchants.
- Crafting detailed business requirements for programmers and technology staff to enhance internal controls in response to new regulations or the launching of new business lines.
- Drafting and implementing firm policies, controls and written supervisory procedures.
- Developing and implementing remedial action plans in response to internal and external audit findings.
Qualifications:
- 6+ years’ experience with the SEC, FINRA, CFTC, NFA, an exchange, law firm, or another broker-dealer or FCM
- Appropriately registered compliance officer (i.e., at least a Series 7, Series 24 and/or Series 3 registration) or member in good standing of the bar of any U.S. state or the District of Columbia preferred
- High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems. Experience working directly with programmers and/or familiarity with scripting or query language is preferred
- Outstanding oral and written communication skills
- Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
- Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
- Experience managing individuals and/or small teams
- Advanced skill in Microsoft Office Excel and Atlassian Confluence/JIRA preferred.
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with competitive company match
- Excellent health and welfare benefits including medical, dental, and vision benefits
- Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
- Paid time off and a generous parental leave policy
- Daily company paid lunch and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities
- Modern offices with sit/stand desks and multi-monitor setups
Job is Archived
You may have followed an invalid link or the job you are looking for has been archived.
Learn About GoHire