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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 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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