Associate/AVP Compliance Testing - Broker Dealer - New York

Job Title: Associate/AVP Compliance Testing - Broker Dealer - New York
Contract Type: Permanent
Location: New York, USA
Salary: US$70000.00 - US$100000.00 per year + Bonus
Reference: BBBH17994_1521233579
Contact Name: Kendall Hughes
Contact Email:
Job Published: March 16, 2018 20:52

Job Description

Our client, the Securities branch of a major investment bank, is looking for a Compliance Testing & Monitoring Associate/AVP to join their New York team.

The ideal candidate will:

  • Have a strong familiarity working with compliance risk assessment and compliance testing systems, as well as reviewing gap analysis
  • Create the annual compliance action plan and report results to the leadership team
  • Maintain the compliance testing program and assist with updating firm's policies and procedures
  • Have a strong working knowledge of SEC and FINRA regulations

Successful candidates will have a Bachelor's degree coupled with 2-5 years of experience at a broker dealer, accounting firm, or securities branch. This is an excellent opportunity to build out a comprehensive compliance tool kit offering exposure to all areas under the CCO. Must have strong attention to detail, the ability to multi-task and work independently and possess excellent communication skills.

For more information, and a discussion in confidence, please email or call Kendall Hughes at +1 646-766-1226.