#1741 Compliance Officer/
Responsibilities:
- Prepare and implement firm’s compliance policies and procedures
- Assist Chief Compliance Officer with department operations
- Conduct compliance regulatory reviews
- Assist with risk mitigation, side-by side management, trade allocation and conflicts of interest
- Oversee periodic regulatory filings
Requirements:
- 3+ years of relevant regulatory and compliance experience
- Bachelor’s degree
- Series 7 and 24 registrations
- Dedicated, enthusiastic and self-motivated professional
- FINRA and/or
- Ability to work in a fast-paced, challenging environment and meet tight deadlines
- Excellent verbal and written communication skills
Please send Word doc resumes in confidence
Rita Kohn, Senior Vice President