Broker Dealer Compliance Officer
Seeking experienced Compliance “Generalist” (7+ years preferred) with AML background, experience with Pershing platform, and strong retail brokerage compliance. Preferred experience includes investment advisory matters, use of FINRA CRD, branch exams, insurance, and bank/broker issues. Series 7/66/24 preferred or must attain within nine months.
- AML/KYC Surveillance and Investigations
- Liaison with Bank
- Reconcile Client and Pershing KYC records
- Daily, weekly and monthly surveillance
- Numerous one-time or annual projects including PEP review, 314A and 314B, SAR review
- SAR Review and Filing
- Third Party Checks and Wires
- Use of Actimize and/or Clearing Firm Rules Engine
- Personal Account Dealing Review and Organization including Rule 407 letters
- Daily Trade Surveillance, AML and Sales Practice
- Branch Office Examinations
- Customer Complaint handling
- Investment Advisor (1940 Act) Policies and Procedures
- Monitoring of Insurance Licensing
Numerous projects and reports possibly involving but not limited to:
- Regulation S
- New Account Documentation
- Best Execution and Trading Room Issues
- Disclosure Mailing to Customers
- Firm element continuing education
- Structured Products
- Senior Investors
- Able to act as audit and regulatory liaison
- E-mail, Communication and Social Media Review
- FINRA CRD and continued education
Skills & Experience:
- Bachelor degree.
- FINRA Series 7 and 63 or 66; Series 24 within 90 days of hire date.
- Strong understanding of AML, KYC and BSA rules and regulations.
- ACAMS certification preferred or can obtain within six months of hire.
- Familiar with FINRA CRD
- Familiarity with Pershing NetX360 or similar clearing firm system.
- Excellent written and verbal communications skills.
- Familiarity with Bloomberg system a plus.
- 7+ years experience in securities compliance, audit and/or risk areas.
- Be a self-starter, with a strong work ethic and the ability to both research and generate new approaches to problems.
- Strong communication skills including writing/composition, oral and listening skills.
- Ability to multi-task and work under tight deadlines.
- Be superbly well-organized.
Job Order ID: 1288