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