Broker Dealer Compliance Officer

Company: MJ Boyd Consulting
Location: New York
Posted on: January 27, 2023

Job Description:

Seeking experienced Compliance "Generalist" (7+ years preferred) with AML background, experience with Pershing platform, and strong retail brokerage compliance. Preferred experience includes investment advisory matters, use of FINRA CRD, branch exams, insurance, and bank/broker issues. Series 7/66/24 preferred or must attain within nine months.Primary Responsibilities:

• AML/KYC Surveillance and Investigations
• Liaison with Bank
• Reconcile Client and Pershing KYC records
• Daily, weekly and monthly surveillance
• Numerous one-time or annual projects including PEP review, 314A and 314B, SAR review
• SAR Review and Filing
• Third Party Checks and Wires
• Use of Actimize and/or Clearing Firm Rules Engine
• Personal Account Dealing Review and Organization including Rule 407 letters
• Daily Trade Surveillance, AML and Sales Practice
• Branch Office Examinations
• Investment Advisor (1940 Act) Policies and Procedures
• Monitoring of Insurance LicensingNumerous projects and reports possibly involving but not limited to:
  • Regulation S
  • New Account Documentation
  • Best Execution and Trading Room Issues
  • Disclosure Mailing to Customers
  • Firm element continuing education
  • Structured Products
  • Senior Investors
  • Able to act as audit and regulatory liaison
  • E-mail, Communication and Social Media Review
  • FINRA CRD and continued educationSkills & Experience:
    • FINRA Series 7 and 63 or 66; Series 24 within 90 days of hire date.
    • Strong understanding of AML, KYC and BSA rules and regulations.
    • ACAMS certification preferred or can obtain within six months of hire.
    • Familiar with FINRA CRD
    • Familiarity with Pershing NetX360 or similar clearing firm system.
    • Excellent written and verbal communications skills.
    • Familiarity with Bloomberg system a plus.
    • 7+ years experience in securities compliance, audit and/or risk areas.
    • Be a self-starter, with a strong work ethic and the ability to both research and generate new approaches to problems.
    • Strong communication skills including writing/composition, oral and listening skills.
    • Ability to multi-task and work under tight deadlines.Email us at info@mjboyd.net or give us a call on 212-832-0832

Keywords: MJ Boyd Consulting, New York , Broker Dealer Compliance Officer, Sales , New York, New York