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:

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