Monitor new regulatory mandates, rules, and requirements. Develop and maintain written supervisory procedures. Serve as the point of contact for regulators, auditors, and attorneys.
Bachelor’s degree in economics, finance, business administration, or a related field, plus 2 years of legal or compliance experience within retail financial services. Experience analyzing and interpreting complex legal and regulatory documents and developing effective compliance controls and monitoring routines. Experience with compliance processes, due diligence, counterparty risk assessments, background checks, internal policy analysis, branch inspections, communications monitoring, and trade surveillance. Knowledge of compliance requirements across asset classes, including equity and fixed income securities, mutual funds and ETFs, and alternative investments. Experience monitoring trading activity, including insider trading, spoofing, and marking the close. Experience reviewing market activity with a focus on Regulation Best Interest (Reg BI). Familiarity with the AML regulatory framework, including the Bank Secrecy Act (BSA), FinCEN 314(a)/(b), and Suspicious Activity Reports (SAR), as well as FINRA guidelines related to advertising/marketing review.
[email protected]
JOBS.NOW Note: To tap into these hidden job opportunities, it's crucial to adhere strictly to the application process outlined in each job ad. At JOBS.NOW, we ensure that every listing includes detailed employer instructions. Follow them precisely to be considered for these unique positions!
The "Log Application" button simply allows you to log the application for your records - JOBS.NOW does not submit any applications to employers directly. Remember to still apply through the method indicated in the job ad (mail, email, or via link).
Please note that JOBS.NOW is an independent website and does not post this listings on behalf of any employers nor do we receive any compensation for these listings. All listings are sourced via media or internet channels required by the PERM process.
