Job Responsibilities

• Oversee and manage the firm’s compliance program. Work with the CEO, and other C-Suiter colleagues to implement best practices.
• Perform risk assessments, monitoring and surveillance activities, and engage in project management to support the compliance program and ensure best practices.
• Act as the primary AML Officer.
• Update and maintain the firm’s WSPs.
• Responsible for communications with regulatory bodies including preparation of regulatory filings.
• Lead and manage all regulatory exams, inquiries, and new compliance program initiatives.
• Ensure adherence to all regulatory requirements of business policies and programs at a level commensurate with regulatory expectations
• Create accurate documentation of compliance monitoring and surveillance activities
• Report findings to the teams and provide timely follow-up on outstanding issues.
• Perform other duties as necessary and assigned by CEO..

Job Requirements

• FINRA Licenses: 7, 63 and 24 Required. Series 79, 55 helpful.
• Demonstrate knowledge 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: Greenwich Connecticut onsite