Position Description: This individual will provide compliance support for global Operations. Candidate will be expected to advise on NYSE, NASD and SEC rules, regulations, and applicable internal policies and procedures. Candidate must demonstrate ability to effectively analyze complex situations, absorb large amounts of information, and apply judgment to resolve issues in a timely manner with minimal supervision.
Job Responsibilities:
• Assist in the design and maintenance of written supervisory procedures as prescribed in NASD 3010 and 3012. • Assist in providing review of new product materials. • Assist in regulatory reviews, audits and other examinations. • Provide Compliance Support for retail Operations and IT. • Design applicable training for business unit personnel • Actively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulations
Skills Required: • 2-5 years proven Compliance or Operations experience • Branch Office exposure • Knowledge of broker-dealer regulatory compliance including NYSE, NASD and SEC regulations • Working knowledge of brokerage operations, fixed income products, and trading systems • Knowledge of Banking and Lending Products • Excellent organizational and communication skills essential • Series 7 and 24 a plus
