Compliance Manager Self-Clearing Broker-Dealer

Job Responsibilities: Work with the CCO, and other senior colleagues to implement best practices. Perform risk assessments, monitoring and surveillance activities to ensure best practices. Perfom AML functions. Conduct periodic reviews and maintain and update the firm’s WSPs. Draft and assist with communications and responses to regulatory bodies including preparation of regulatory filings. Assist CCO with all regulatory exams, inquiries, and new compliance program initiatives. Execute appropriate testing of firms Control Supervisory Procedures (CSP's) and analyze key performance indicators to confirm requirements of the business policies and programs are maintained at a level commensurate with regulatory expectations. Prepare complete, accurate documentation of compliance monitoring and surveillance activities Report findings to Senior Management and provide timely follow-up on outstanding issues. Perform other duties as required and assigned by CCO and upper management. Job Requirements: 5+ years’ experience in a compliance role with a Self Clearing broker-dealer with particular knowledge of equity markets, option markets and AML regulations. Required FINRA Licenses: 7, 63 and 24. Must be knowledgeable of U.S. securities laws, particularly the Securities Act of 1933, the Securities Exchange Act of 1934, and other SEC & FINRA regulations. Compensation : Compensation package offerings are based on candidate experience and technical qualifications, as it relates to the role. These are identified and determined throughout your interviewing experience. Location: New York and New Jersey

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