Saturday, June 26, 2010

[itroundtable] LEAD: Compliance Officer - NY - Fin Svcs

 

I'm with BCI and was curious if you or someone from your network might be
interested in this opportunity:

Title: Compliance Officer - 0351-006-811
Location: New York
Compensation: Commensurate with experience

Summary/Responsibilities:
Diversified financial services firm seeks an Employee Trading Compliance
Officer.
Maintain Employee Personal Trading System and interface with Registration
Coordinate with Registration in capturing outside business activity
information so that Registration can keep the Form U-4s up to date in the
Web Central Registration Depository.
Issue 407 letters to Outside Brokerage Accounts
Track/Confirm all Managed Accounts and Blind Trusts
Monitor all legal and compliance staff and above the wall senior
management associates
of affiliates as well as the B/D.
Monitor and resolve daily exception reports for all employees under the B/D
Documentation and escalation of all outstanding issues regarding employee
accounts
Conduct the appropriate due diligence to determine if a transaction is
actually a violation of the Firms Restricted List.
Keep up to date records of outside business activities, directorships and
general partnerships
Assist in conflicts requests of the Control Room
Monitor emails sent to Employee Trading
Resolve all Look-Back reviews for restricted securities for employee trading
Provide training to new employees regarding all issues related to their
personal trading
Handle non-compliance with employee trading policies including warning and
breaking/reversing employee trades

Requirements:
Bachelors Degree required
3+ years of Employee Trading Compliance experience

Interested parties should email me a copy of their resume as a .DOC.

Thank you,

Tony Pietrzak
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606

312-460-8111 x104
tony@brokerageconsultants.com
www.brokerageconsultants.com


MIS Ntwk Assoc Mtg Dates:

June 29th - Recruiter Night Out Dinner mtg - Joe Gadino CSC Moderator - Diane Briggs KPMG - Mike Petronaci JHeart - John McKinley Morotta Controls - Janelle Razzino Razzino Associates
July 6th - No Meeting Holiday
July 13th - Tues - Bring 20 copies of your resume - 6 pm - NEW LOCATION - BERMAN LARSON KANE (BLK) 12 Route 17 North, Suite 209 Paramus, New Jersey 07652 - Do not use GPS - go to BLK site for directions - 201.909.0906 - plan to have dinner with us afterwards

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1 comment:

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