Compliance Manager (Contract)

Job Title: Compliance Manager (Contract)
Contract Type: Contract
Location: New York
Salary: US$50.00 per hour
Reference: BBBH14317
Contact Name: Ben Ellison
Contact Email:
Job Published: February 09, 2017 21:23

Job Description

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