Broker Dealer Compliance Associate Director

Our client, a certified public accounting firm, have been partnering with financial service businesses looking to outsource specific functions.

Our client, a certified public accounting firm, have been partnering with financial service businesses looking to outsource specific functions for over 40 years. Headquartered in New York, expanding their locations to Boston, Miami, and Southern California, the firm provides clients with assortment of services from outsourced FinOp, PFO, POO to compliance, cybersecurity, and accounting.

Due to growth and rebranding of the company, the institution is looking to hire a Compliance Associate Director to join their Broker-Dealer group to their team in New York. The Broker-Dealer Compliance Associate Director will be expected to assist clients through regulatory inspection and respond to the regulatory inquiries. The candidate will be responsible for advising clients in the compliant practices sector, such as sales, trading, banking, and research, along with maintaining procedures manuals, such as AML Programs, WSPs, etc.

Key Responsibilities:

Functioning closely on compliance matters

Helping broker-dealer clients through regulatory matters

Managing mock examinations and firm review details

Maintaining procedures manuals, such as AML Programs, WSPs

Knowledge and Experience Required:

4+ years of experience in Compliance

Enhancement of FINRA rules and Compliance

Series 7 and 24 required or will obtain upon 3 months of hire

Experience in Broker-Dealer preferred

Strong communication skills, both written and oral, are required, as the role will require interacting with high client base

Ability to manage time efficiently and great independent skills

The perfect role

for you? Don't hesitate...