Job: Compliance Director - Broker Dealer

About the Job

Compliance Director - Broker Dealer

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Major Investment Management Company located in New York City is currently seeking a qualified Compliance Director for their expanding Broker Dealer buisness.

Responsibilities:

• Drafting and maintaining relevant policies and procedures;
• Reviewing and testing compliance programs in accordance with FINRA rule 3012/3130;
• Education of relevant employees including the annual compliance meeting;
• Ensuring that the businesses have and sustain strong compliance control environments;
• Providing advice and ongoing support to assist managers with their supervisory obligations;
• Assisting with regulatory reporting matters and filings;
• Handling continuing education and registration activities, including FINRA and state securities registration and licensing of the firm and its personnel;
• Participating in other compliance department initiatives; 
• Building relationships with relevant senior business leaders.
• Special projects as assigned
  .

The ideal candidate must have a bachelor's degree and 10+ years related broker dealer compliance experience. Series 7 and 24 is a must.
Immediate Inteview
Top Bonus and Benefits
Starting Salary is up to 175K Base

All resumes submitted MUSTbe e-mailed in Word format DIRECTLY to Trandon Associates, Inc.  Please include current salary requirements. 

Scott Evans
Trandon Associates, Inc.
535 5th Avenue-Suite 610
New York, NY 10017
PH: 212-986-0200
FAX: 212-986-0184Recruiting@trandon.com
www.trandon.com

More Info and Application