Saturday, September 25, 2010

AML & Retail Account Surveillance Analyst, Financial Regulation (AVP) Openings

AML and Retail Account Surveillance at the Analyst level now needed.
Compensation: Base 80-95K + Bonus, Midtown NY office, Broker-Dealer part of established Bank.

As re-tweeted this morning:
New #Job #AML #Compliance, SERIES 7, 24 Retail Surveillance exp. reqd #NYC Apply w/ e-mail to:

Original Tweet on Fri and prior tweets
New #Job #AML #Compliance Officer, SERIES 7, 24 retail brokerage surveillance exp reqd Location #NYC Apply via e-mail
•Ensure that activities are in compliance with applicable laws, rules and restrictions of the SEC, FINRA, Federal Reserve and state securities regulations.
•Ensure that the Compliance Manual and Supervisory Manual amendments are timely circulated to appropriate personnel as laws, regulations and procedures are changed.
•Coordinate training and Continuing Education (CE) of personnel.
•Conduct daily surveillance review of brokerage activities.

Minimum qualifications:

•7 years experience, Bachelor's degree, Series 7 and 65 licenses; 24, preferred
•Excellent organizational, interpersonal, written and verbal communication skills
•Strong PC skills, MS Applications

Another new opportunity is a position for a Compliance Examiner.
A candidate should have internal or external audit experience, preferably in Capital Markets. Corporate Title - Vice President (VP) Base Salary target: $125,000 to $140,000

A Financial Regulation (AVP) role focused on SEC Rules 15c3-3, 15c3-1 Salary 125K - will be responsible for:
• Preparing the SEC Rule 15c3-1 Net Capital computation for a US Broker Dealer.
• Preparation of Weekly SEC Rule 15c3-3 Customer Reserve calculation.
• Monthly preparation of FOCUS report

To read more and apply for this opportunity please click here or send a WORD resume by email to:

Sunday, September 12, 2010

Registration Compliance Officer - Bank Holding Compliance Officer, among current Openings

Bank Holding Compliance Officer:
This opportunity is a permanent Vice President role with a well-regarded US-based Firm known more for Investment Banking. A candidate must show Bank Holding Company, Federal Reserve and/or other Federal Bank agency work experience.

With the support of Legal and Compliance, the responsibilities include monitoring to ensure full compliance with Federal Reserve laws and regulations, internal policies and procedures and report discrepancies to Senior Compliance Management. See More & Apply at Job Board.

Registration Compliance Officer - CRD, CE etc.
Prestigious Investment Bank
Posted: September 3, 2010
Address: Stamford, CT 06907
Full-time, Permanent
Responsible for coordinating regulatory, licensing and other legal and compliance tasks to ensure employees are registered and licensed as required. Assist and support Senior Regulatory, Legal and Compliance colleagues in all matters related to SEC and FINRA compliance.

Manage the licensing of employees and related ongoing compliance matters in connection with activities for licensed associates.

Manage, obtain and maintain registrations, including continuing education for licensed associates and reviewing confirmation reports regarding continuing education exams. CE Notices; Tracking CE compliance; RV confirmation reports re: CE exams. See More. Apply, Inquire.

Saturday, September 4, 2010

Chief Privacy Officer (CPO) Needed | PCAOB Seeks PUBLIC Hearings | Muni. Advisers Must Register w/SEC by 10/1

The SEC announced on 9/2 that it adopted a temporary rule requiring municipal advisors to register with the SEC by October 1, a deadline established by the Dodd-Frank Act. Municipal advisors can access and complete the new registration form (Form MA-T) on the SEC website.

Separately, as WSJ reported on 9/3, the U.S. board overseeing Company auditors has sent a draft bill to Congress to make its enforcement proceedings Public.

Privacy sector JOB Opportunity

Chief Privacy Officer (CPO)
This job is located close to Philadelphia in NJ. A excellent opportunity for for the right person located near Cherry Hill, NJ Center City Philly or the Main Line. Please share w/anyone who has contacts within a Large Bank or with a Privacy specialty.

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CIPP qualification preferred, not required.
This job listing is posted on the Rosenthal Recruiting Job Board.
To apply, review or forward a Job please 1) Click to view the complete Job Description 2) E-mail resume and cover letter to or call (973) 826-0537. For more information please view the Job Board.

The Public Company Accounting Oversight Board (PCAOB) proposal would repeal a requirement that its disciplinary actions remain secret, according to a copy of the document reviewed by Dow Jones.

In Privacy News this past week,
as the public now is denied access to information about accountants that have been sanctioned or charged by the PCAOB, acting Chairman Daniel Goelzer wrote a letter on Aug. 24 to members of the Senate Banking Committee and House Financial Services Committee.
Going Concern's Caleb Newquist added that 'despite the setback that was the creation of the PCAOB, the Big 4 have to be pret-tay, pret-tay, pret-tay pleased with the privacy they get when it comes to the Board’s disciplinary actions. Perpetually-acting chair Dan Goelzer wrote a letter to the Senate Banking and House Financial Services Committees saying that by keeping the proceedings mysterio and out of the public eye. The current arrangement “gives firms and auditors an incentive to drag out litigation, sometimes for years,” and that simply won’t do.

Despite the general public’s disinterest in all things accounting (until the shit hits the fan, of course), the Board is still trying to find its place as the relatively new kid on the bureaucratic block."

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