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As a Loan Originator with PNC Mortgage, you be involved in a variety of initiatives and activities supporting our fullservice mortgage company that originates, ...
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As a Loan Originator, you will become part of PNC Mortgage, a specialized subsidiary of PNC, a fullservice mortgage company that originates, acquires, markets ...
Our client is an international toptier hedge fund with in excess of $10 billion under management. The legal assistant will support the General Counsel and ...
Toptier financial services firm is seeking a Compliance AVP for their Flagship Branch Office. They will play a critical role in the assurances of Sales Practice ...
Out client is a diversified asset management firm offering institutional money management, mutual funds, hedge funds and alternative investments. The role will ...
Toptier Financial Services firm is seeking a Bank Regulatory Compliance officer. Responsibilities include: Assisting in the management of bank examinations ...
The Wealth Management division of an investment bank seeks a Regional Compliance Officer responsible for the oversight of sales activities for four wealth management ...
For your reference, we have included the original job posting below.
Compliance Officer / Chief Compliance Officer
Job Number:
41583817
Company Name:
Confidential Company
Job Location:
New York, NY Us
Job Category:
Accounting & Finance
Salary:
$80K - $120K
Compliance Officer / Chief Compliance Officer
International Brokerage & Trading Firm is seeking a Compliance Officer to oversee their trading teams and firm-wide risk and compliance. Responsibilities Include: * Provide real time trading advice and support to the firm's trading desk (listed and NASDAQ) * Provide real time advice to the traders on regulatory requirements * Perform daily, weekly and monthly reviews to insure proper trading activity monitoring and exception reporting. * Educate trading personnel on compliance procedures and new regulations * Amend firm Written Supervisory Procedures as necessary to conform to new regulations. * Research and provide guidance on new trading proposals and trading styles. * Work with regulators on regulatory exams and prepare responses for regulatory inquiries. * Conduct Branch Inspections * Excellent written and verbal communication skills. * Strong organizational skills and self-starter. * Excellent interpersonal skills. * Project management lifications: * Must possess series 7, 24, and 63 licenses. If you do not have all of these active please do not apply * Series 27 and/or Series 14 a plus* Must have experience with listed and NASDAQ trading, as well as trade reporting. * Must be fluent in all current trading rules and the regulatory environment. * Experience with other aspects of Broker/Dealer compliance helpful. * 5 - 10 years of compliance experience (preferably in a heavy trading environment)* Back Office Operations Experience a plus.
