[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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