Compliance Manager

Company: Genesis10
Location: New York
Posted on: May 16, 2022

Job Description:

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 compliance program.
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 seek enhancements.


Qualifications: Knowledge of the broker-dealer business from a product, corporate governance, compliance, risk, and administrative perspective.
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 requirements.
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 broker-dealers
Understanding of SEC and Client non-cash compensation and registration rules
Comfort with ambiguity, capable of solving complex problems independently in a fast-paced environment and adapting along the way
Demonstrated success as a values-based leader who can build and maintain a culture of empowerment, ownership, and accountability
Ability to initiate and drive projects to completion with minimal guidance
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!

About Genesis10:
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