Director of Compliance - New York City, New York United States - 36838



JOB DESCRIPTION

Job #: 36838
Title: Director of Compliance
Job Location: New York City, New York - United States
Employment Type:
Salary: $125,000.00 - $150,000.00 - US Dollars - Yearly
Other Compensation: Bonus
Employer Will Recruit From: Regional
Relocation Paid?: NO

WHY IS THIS A GREAT OPPORTUNITY?


This position reports direclty to the Chief Compliance Officer of a major Korean Bank. 

JOB DESCRIPTION

As a member of the Compliance team, the Compliance Director will play a lead role in all aspects of My Client ’s operational and regulatory compliance programs. The Director will also work on special projects as assigned and assist on other matters relating to the business as requested. The Director will work closely with members of the Compliance team covering a broad range of broker-dealer and regulatory compliance work.

ESSENTIAL FUNCTIONS

Assist in the development and maintenance of regulatory compliance programs at the firm. Major areas of responsibility include:

  • Participating in regulatory examination process, including preparing regulatory responses and interacting with regulatory contacts.
  • Supervising maintenance and review of trade surveillance alert systems.
    • Resolving system generated trade surveillance and best execution alerts
    • Updating procedures related to trade surveillance
    • Updating system internal user guide
    • Communicating with system experts to resolve issues and make enhancements
  • Supervising management and maintenance of employee personal trading system and procedures
    • Resolving system generated alerts
    • Training employees in personal trading guidelines and requirements
    • Resolving data load errors
    • Updating system internal user guide
    • Communicating with system experts to resolve issues
  • Updating compliance policies and procedures
  • Leading compliance reviews, testing and monitoring, and recordkeeping
  • Preparing and submitting required regulatory filings
  • Interfacing with the business team and other management and compliance personnel on regulatory compliance matters.
  • Conducting regulatory research on various regulatory and compliance matters affecting the Firm
  • Special projects as assigned

QUALIFICATIONS

KNOWLEDGE, SKILLS AND ABILITIES:

•     Familiarized with the Broker Dealer and financial industry 

  • Excellent organizational skills and ability to manage multiple priorities 

•     Self-motivated and able to work independently 

•     Demonstrated problem solving abilities and Detail oriented 

•     Ability to work productively in a team-oriented environment 

  • Effective communication skills, both verbal and written 

EDUCATION AND EXPERIENCE: 

•     Bachelor's Degree in related field. 

•     5/8 years of related work experience preferred, preferably in broker dealer, legal, financial services, or business setting. 

  • Series 7 or 99 desired or ability to obtain within first three months. 

•     Broker-dealer compliance experience a plus.

Education:
University - Master's Degree

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