|Title:||Director of Compliance|
|Job Location:||New York City, New York - United States|
|Salary:||$125,000.00 - $150,000.00 - US Dollars - Yearly|
|Employer Will Recruit From:||Regional|
This position reports direclty to the Chief Compliance Officer of a major Korean Bank.
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.
Assist in the development and maintenance of regulatory compliance programs at the firm. Major areas of responsibility include:
KNOWLEDGE, SKILLS AND ABILITIES:
• Familiarized with the Broker Dealer and financial industry
• Self-motivated and able to work independently
• Demonstrated problem solving abilities and Detail oriented
• Ability to work productively in a team-oriented environment
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.
• Broker-dealer compliance experience a plus.
University - Master's Degree