Broker Dealer Compliance Officer - Junior

Broker Dealer Compliance Officer - Junior

Job :
00004K0F

Category:
Sales Marketing

Location:

CA Thousand Oaks

Hours:

40 Monday to Friday 6am to 230pm

Pay: $80,000.00 $

An institutional broker-dealer, is seeking a Compliance Specialist that will be responsible for broad-based compliance coverage supporting nearly all aspects of the firms businesses. The role will support our institutional trading and sales, equity research, investment banking, electronic trading, and prime services divisions with an emphasis on trade monitoring and surveillance and CAT reporting. Additional responsibilities may include providing compliance support to the Companys Canadian based subsidiary.

This is an outstanding opportunity to join a great company within a highly experienced department. This is a highly visible role with a great opportunity to grow in your career. Partner with the Firms compliance team in updating and developing internal policies and procedures for institutional trading. Manage the Firms Trade Monitoring Surveillance. Assist with regulatory reporting management CAT
606CA
IS. Conducting or assisting in preparing information and responses to regulatory exams and inquiries. Reviewing electronic correspondence and firms marketing material. Review of the Firms employee code of ethics requirements Personal trading, OBA and private securities transactions. Establish and maintain open and effective relationships with regulators such as FINRA and the SEC. Trading desk liaison. Continuing education management. Restricted 144 and Legal Sales.

Best Execution Committee Manager. Wall crossing chaperoning and restricted list management. Complete clients AMLKYC annual questionnaires. Branch and department audits. Assist with onboarding of new clients, such as AML, KYC, and CIP issues. Other duties as assigned.

5+ yrs of broker dealer compliance exp. Active Series 7, 63 or 57. Trade monitoring and surveillance exp. CAT, CAIS and 606 reporting exp. Familiar with FINRA and Nasdaq systems.

BA Degree. Institutional broker dealer exp. Working knowledge of Flex Trade and other OMSEMS platforms.