Located in NYC, we are a wealth management and investment banking business founded in 1984 that is dedicated to providing corporate finance, strategic advisory and related services to public and private companies across multiple sectors and regions.
We are seeking a Compliance Officer in the NYC area to be responsible for monitoring the compliance program and advising the CCO on significant risk and compliance initiatives. This person will be tasked with implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting and correcting noncompliance with applicable laws and regulations.
Top Reasons to Work with Us
- Mission-driven organization making a positive impact on a massive scale
- Amazing co-workers
- Smart, competent leadership
- Competitive comp & benefits (401k, healthcare coverage, generous PTO, and more)
- Human-centric workplace
- Career opportunities
What You Will Be Doing
- Keep up on the latest rules and regulations
- Implement practices that will ensure company meets all current industry regulation standards
- Have in-depth knowledge and understanding of private placement, investment banking, and associated offerings
- Monitor the firm's written supervisory procedures
- Maintain detailed knowledge of the firms policies and procedures and how they are applied and monitored
- Maintain daily, monthly, quarterly and annual compliance log/tasks
- Monitor all aspects of the firms operations in order to identify new or emerging compliance issues
- Advise management on existing and new regulations as they occur and how they affect the firm and its clients
- Communicate clearly and effectively
- Perform other duties and responsibilities as assigned
- Monitor multiple branch locations
- Review and approval of advertising and marketing material
- Organize the submission of timely regulatory responses
What You Need for this Position
- Bachelor's in related field
- 5+ years of experience as a Compliance Officer or related in the financial services industry
- Series 7, 24, and 63 required
- Series 79 preferred
- Track record of identifying, solving and preventing compliance issues
- Ability to understand complex regulatory requirements and create effective compliance programs
- Experience working with FINRA and the SEC
So if you are a Compliance Officer w/ Financial Services experience, please apply today!
Applicants must be authorized to work in the U.S.
Caroline Veillon is recruiting for this position and the positions below.
Email me to apply for this position
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