Location: New York
Posted on: May 16, 2022
Genesis10 is seeking a Compliance Manager for a 4 month contract
position with a corporate investment banking company located in New
York, NY. This position can be fully remote.
Summary: Responsible for the overseeing and providing compliance
support to the assigned business units within a broker-dealer
Provide guidance and support to business partners, senior
management, and compliance team in the development of
infrastructure and control requirements.
Ensure that appropriate regulatory policies, procedures and
controls are established, maintained, and well documented.
Take ownership of all ongoing compliance review processes and
requirements related to assigned areas of coverage.
Coverage areas will include registration fillings (U4, U5, Client,
etc.), policies and procedures, gifts and entertainment and
non-cash compensation reviews.
Candidate will be involved with the review of the current
compliance program framework and operations and will be expected to
Qualifications: Knowledge of the broker-dealer business from a
product, corporate governance, compliance, risk, and administrative
General knowledge of Client and SEC rules and regulations, as well
as state regulatory framework.
Knowledge of securities products (i.e. mutual funds, ETFs, private
funds, equity and debt securities), compliance, and supervisory
Minimum of 3-5 years of experience as a compliance professional at
a Client-registered broker-dealer is preferred, or regulator
(diversity of experience strongly preferred)
Experience with rules and regulations applicable to
Understanding of SEC and Client non-cash compensation and
Comfort with ambiguity, capable of solving complex problems
independently in a fast-paced environment and adapting along the
Demonstrated success as a values-based leader who can build and
maintain a culture of empowerment, ownership, and
Ability to initiate and drive projects to completion with minimal
Series 7, 24
Able to work as a W2 employee of Genesis10 (no corp to corp)
If you have the described qualifications and are interested in this
exciting opportunity, apply today!
Genesis10 is a leading U.S. business and technology consulting firm
with hundreds of clients needing proven talent and solutions to
power their strategic initiatives. If you are a high performing
business or IT professional with solid, referenced experience, we
want to meet you. Genesis10 recruiters and delivery professionals
are highly accomplished career advocates, who get to know you
beyond your resume to position you with the opportunities that fit
your skills, experience and aspirations. We have benefit options to
fit your needs and a support staff that works with you from
placement throughout your engagement project after project. To
learn more about Genesis10 and to view all our available career
opportunities, please visit us at www.genesis10.com "Genesis10 is
an Equal Opportunity Employer, M/F/D/V
Keywords: Genesis10, New York , Compliance Manager, Executive , New York, New York
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