Our client, a Global Investment bank located in midtown Manhattan, is looking to hire a Compliance Manager for a 3 month contract as soon as possible. $50 ph. Main responsibilities are:
- Assisting with the broker / dealer and futures commission merchant firm and employee registration processes.
- Broker/Dealer Staff Registrations. Includes responsibility for accurate and timely record-keeping and reporting.
- Processing and record-keeping for Form BD and ADV Firm Registrations / amendments and Branch Office applications and amendments as required.
- Assist with production of documents to regulatory exams and inquiries
For more information, please contact Benjamin Ellison on 646 766 1212 or