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
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