Job Responsibilities:

• Work with the CCO, and other senior colleagues to implement best practices.
• Perform risk assessments, monitoring and surveillance activities to ensure best practices.
• Perfom AML functions.
• Conduct periodic reviews and maintain and update the firm’s WSPs.
• Draft and assist with communications and responses to regulatory bodies including preparation of regulatory filings.
• Assist CCO with all regulatory exams, inquiries, and new compliance program initiatives.
• Execute appropriate testing of firms Control Supervisory Procedures (CSP’s) and analyze key performance indicators to confirm requirements of the business policies and programs are maintained at a level commensurate with regulatory expectations.
• Prepare complete, accurate documentation of compliance monitoring and surveillance activities
• Report findings to Senior Management and provide timely follow-up on outstanding issues.
• Perform other duties as required and assigned by CCO and upper management.

Job Requirements:

• 5+ years’ experience in a compliance role with a Self Clearing broker-dealer with particular knowledge of equity markets, option markets and AML regulations.
• Required FINRA Licenses: 7, 63 and 24.
• Must be knowledgeable of U.S. securities laws, particularly the Securities Act of 1933, the Securities Exchange Act of 1934, and other SEC & FINRA regulations.

Compensation:

Compensation package offerings are based on candidate experience and technical qualifications, as it relates to the role. These are identified and determined throughout your interviewing experience.

Location: New York and New Jersey