Compliance Officer - Special Products and Back Office
Our client, a Global Brokerage Firm, is looking for a Special Products & Back Office Compliance Officer to join their growing team.
19th July, 2022
Our client is looking for a motivated and talented compliance officer who is familiar with securities regulatory issues and has appropriate experience at a broker-dealer, regulatory agency, exchange or law firm. In particular, they are looking for someone with a wide range of expertise in various product types and back office functions.
Location: Greenwich, CT or Chicago, IL
Responsibilities: The Compliance Officer – Special Products and Back Office will be responsible for:
Providing compliance coverage for specific products and services including bonds, mutual funds, cryptocurrency, margin lending, stock lending, and clearing
Managing regulatory inquiries related to the compliance coverage area
Meeting with and responding to examiners from the SEC, FINRA, and other regulatory bodies
Crafting detailed business requirements for programmers and technology staff to enhance internal controls in response to new regulations or the launching of new business lines
Coordinating with business departments to research, interpret and advise the firm on compliance with applicable laws, regulations and guidance
Assessing the firm’s existing internal controls against regulatory requirements and expectations
Drafting and implementing firm policies, controls and written supervisory procedures
Developing and implementing remedial action plans in response to internal and external audit findings
Qualifications
6-12 years’ experience with the SEC, FINRA, an exchange, law firm, or another broker-dealer
Appropriately registered compliance officer (i.e., a Series 7 or Series 24) or member in good standing of the bar of any U.S. state or the District of Columbia preferred
High degree of comfort and fluency with computers and technology, and understanding how technology is applied to business and regulatory problems. Experience working directly with programmers and/or familiarity with scripting or query language is preferred
Outstanding oral and written communication skills
Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment
Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
Experience managing individuals and/or small teams
Advanced skill in Microsoft Office Excel and Atlassian Confluence/JIRA preferred
Company Benefits & Perks
Competitive salary, annual performance-based bonus and stock grant
Retirement plan 401(k) with competitive company match
Excellent health and welfare benefits including medical, dental, and vision benefits
Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
Paid time off and a generous parental leave policy
Daily company paid lunch and a fully stocked kitchen with healthy options for breakfast and snack
Corporate events including team outings, dinners, volunteer activities and company sports teams
Education reimbursement and learning opportunities
Modern offices with sit/stand desks and multi-monitor setups