Broker Dealer Compliance Officer

Responsibilities:

* Partner with the Firms compliance team in updating and developing internal policies and procedures for institutional trading.

* Manage the Firm's Trade Monitoring & Surveillance

* Assist with regulatory reporting management (CAT/606/CAIS)

* Conducting or assisting in preparing information and responses to regulatory exams and inquiries

* Reviewing electronic correspondence and firm's marketing material

* Review of the Firm's employee code of ethics requirements (Personal trading, OBA and private securities transactions)

* Establish and maintain open and effective relationships with regulators such as FINRA and the SEC

* Trading desk liaison

* Continuing education management

* Restricted 144 and Legal Sales

* Best Execution Committee Manager

* Wall crossing chaperoning and restricted list management

* Complete clients AML/KYC annual questionnaires

* Branch and department audits

* Assist with onboarding of new clients, such as AML, KYC, and CIP issues.

Qualifications:

* Bachelor's Degree with advanced degree preferred

* 5+ years of broker dealer compliance experience required.

* Institutional broker-dealer experience preferred

* Series 7, 63 and 57. Requirements for additional qualifications may be necessary based on responsibilities

* Trade monitoring and surveillance experience

* CAT, CAIS and 606 Reporting experience

* Strong knowledge of securities industry rules and regulations

* Ability to work with Senior Management and make time sensitive decisions

* Strong knowledge of FINRA and Nasdaq systems including ACT Workstation, CAT, Gateway, TRACE

and CRD

* Working knowledge with FlexTrade and other OMS/EMS platforms

* Proficient in MS Word and Excel

* Organizational awareness with an understanding of how to engage the organization to get things done

* Strong problem-solving skills; comfortable tackling complex problems and breaking these down into

manageable pieces

* Self-starter with the aptitude to initiate action, adapt to change, make difficult decisions, and accept

challenging assignments

* Conceptual and practical thinking and implementation skills

* Excellent communication skills

Apply