New job Monitoring, Surveillance and Investigations –Securities Compliance Officer New York, NY

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Monitoring, Surveillance and Investigations –Securities Compliance Officer New York, NY Gerald Elliott posted a job: Monitoring, Surveillance and Investigations –Securities Compliance Officer New York, NY "Our client is a leading global investment bank and they seek a Compliance Officer who be part of a team that is charged with the reviews of all U.S. banking and broker dealer activities. The position provides exposure to a wide variety of business areas and an opportunity to work on teams. Position will be at the AVP or VP level, depending on experience. Responsibilities include: * Assist in the planning and conducting of compliance inspections and reviews of the firm’s, trading desks, Corporate Finance, and other divisions with a view towards assessing compliance with applicable laws, rules, policies and procedures. Escalate and follow up when issues are found. * Remain current on industry rules, regulations and best practices to help ensure that the examination program meets regulatory standards. * Help to make effective use of information systems. * Work on special projects and targeted reviews * Coordinate with other professionals in the organization, including Compliance Advisory Teams, Regulatory Inquiry Staff, and Surveillance Analysts. * Communicate examination results, including preparation of written inspection reports and presenting identified issues to the business. * Provide feedback to Compliance Advisory where there are outdated procedures or recurring issues. * Domestic travel required Position Requirements: * Bachelor’s Degree (Finance or Economics preferred). MBA or JD a plus, along with Series 7 and 24 licenses * Previous experience as an examiner with a government agency or self-regulatory organization is highly preferred. * Minimum of eight years of compliance and/or regulatory experience, with knowledge of the financial service industry, regulatory requirements and experience in analyzing business risk and best practices * Strong investigative skills – inquiry and analysis, interviewing, testing (including forensic testing), organization and presentation (both written and verbal) * Excellent communication, interpersonal and PC skills. To apply please submit your resume to Info@compliancesearch.com"

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