Compliance Officer (BK & RIA) - Asset Manager - New York

Job Title: Compliance Officer (BK & RIA) - Asset Manager - New York
Contract Type: Permanent
Location: New York, USA
Salary: US$100000.00 - US$130000.00 per year + Bonus
Reference: BBBH16364_1505415837
Contact Name: Ben Ellison
Contact Email:
Job Published: September 14, 2017 20:03

Job Description

We are looking for a Compliance Officer to help administer and enhance our client's broker-dealer and private equity RIA compliance program. The Compliance Officer will work closely with our Legal and Compliance team on a variety of compliance matters including:

Responsibilities & Goals

  • Maintain and update broker-dealer and private equity RIA compliance calendar
  • Support regular compliance testing and monitoring of policies and procedures of the broker-dealer and RIA, including personal trading, outside business activities, gifts and entertainment, registrations and filings, sales practice and operations
  • Prepare written policies and procedures and support remediation efforts of compliance and reporting deficiencies
  • Review promotional and marketing materials, including RFPs and pitchbooks pursuant to FINRA, SEC and other applicable regulations
  • Assist in ongoing compliance training of broker-dealer registered representatives and orientation for new hires
  • Ensure all required regulatory filings are completed on a timely basis and updated as necessary, including the Form BD, Form BR, Forms U-4, state lobbyist forms and confirm all associated persons and entities hold appropriate licenses and registrations; support RIA filings as needed
  • Ensure all required books and records and properly maintained pursuant to FINRA and SEC requirements
  • Assist in connection with branch office inspections, email reviews, periodic testing, annual reviews and board reporting, on-site regulatory examinations and ad-hoc inquiries
  • Serve as AML Officer, perform AML-KYC procedures and FinCen reviews
  • Research, understand and maintain compliance with FINRA rules and regulations, the Department of Treasury AML regulations; and industry best practices
  • Provide timely and clear guidance to other departments
  • Otherwise support broker dealer and private equity RIA compliance program

Education & Experience

  • Bachelor's degree with strong academic performance
  • 4-7 years of compliance experience with a broker-dealer or an investment adviser/broker-dealer, law firm, compliance consulting firm, audit firm or bank
  • Series 24 preferred but not required

Required Skills/Characteristics

  • Strong organizational skills with the ability to set, organize and meet priorities
  • Experience identifying compliance issues and operational risk concepts
  • Familiarity with FINRA and SEC rules and regulations and examination priorities applicable to broker-dealers and RIAs
  • Excellent verbal and written communication skills with particular attention to detail
  • Ability to work independently as well as with others in small team, energetic environment
  • Experience working with corporate documentation and
  • Ability to work effectively with all levels of management within the company and promptly resolve issues or recommend improvements in a positive manner

Salary commensurate with experience.

For more information, and a discussion in confidence, please email or call me +1 646 766 1212.