Chief Compliance Officer
Company: Financial Services, New York, NY
Location: New York
Posted on: December 9, 2018
Our client, a well-established Global Trading firm is seeking their Chief Compliance Officer. He / she will perform compliance and audit functions to ensure compliance with various regulatory agencies, exchanges, States, and Firm rules and regulations pertaining to the Firm's Capital Markets' ("CM") Division. The location for this position is New York City. Experience and Skills Qualifications: Bachelor's Degree in Finance, Accounting, or Business related field; or relevant securities industry experience: 7+ years' industry experience preferred with focus in Capital Markets desired · Series 7, 24, 63 is required 57and 79 licenses willingness to obtain · Significant knowledge of concepts, practices, and procedures of the securities industry, particularly relating to Capital Markets including, Investment Banking, Research, Institutional Sales & Trading, and Syndicate · Excellent written, verbal, and human-relations skills; the position deals with division managers, industry examiners, outside auditors, customers, law firms, and financial institutions · Management experience · Proficient computer skills, including word processing and spreadsheets (Word, Excel, Outlook); experience with industry-specific applications, such as Order Management Systems and programs a plus · Detail-oriented and capable of working with a high level of accuracy, while prioritizing with minimal supervision · Ability to handle confidential information and matters with discretion · Ability to use independent judgment on a variety of compliance issues · Ability to adapt to change, flexibility Duties: · Identify and research new rules, regulations, and laws that will impact policies and procedures (primarily those related to Investment Banking, Research, Institutional Sales & Trading, Market Making and Syndicate); work directly with the Senior Leaders within Capital Markets in the development or modification of policies and procedures to address changes, and communicate resulting process to Capital Markets and/or Firm employees; act as lead reviewer and coordinator of updates to the Written Supervisory Procedures ("WSPs") and various desk procedures · Development and coordination of the Firms' branch office examination program as it pertains to CM. Schedule and conduct branch examinations to ensure compliance with applicable securities industry regulations and the Firm's policies and procedures; prepare written reports to senior management documenting all areas of non-compliance and develop a corrective action plan to ensure compliance · Develop and conduct various compliance training presentations/sessions for CM including the annual compliance meeting with all registered individuals within Capital Markets in order to fulfill regulatory requirements and maintain a well-informed and educated staff · Research and respond to various departmental inquiries directed to the Compliance Department. Participate in addressing and resolving sensitive compliance issues with the various departments within · Coordinate the Compliance Department on necessary changes to the examination program resulting from regulatory or Firm changes in processes; work with the team of business unit contacts in developing risk reporting on a quarterly basis to the Chief Compliance Officer · Execute periodic testing and reviews of Capital Markets processes as required under FINRA Rule 3120 and SEC Rule 15c3-5, draft report detailing testing results and facilitate sub-certification process with senior business leadership · Support regulatory exams according to documented compliance procedures, including facilitation of document production, periodic status updates, interaction with regulators and examiners, meeting facilitation, and other logistical matters · Assist in responding to regulatory inquiries · Under direction of Chief Compliance Officer, support special projects or initiatives related to strategic operation of the Compliance team · Participate in key industry trade associations, committees and working groups and maintain collaborative relationships with relevant regulators, including the SEC and FINRA; participate in and attend various industry conferences and seminars as necessary or requested for continuing education purposes
Keywords: Financial Services, New York, NY, New York , Chief Compliance Officer, Executive , New York, New York
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