New job Advanced Datastage Training DEMO available ( Job Oriented) - Batches starting immediately DEMO available!! Enroll immediately!!

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Advanced Datastage Training DEMO available ( Job Oriented) - Batches starting immediately DEMO available!! Enroll immediately!! Sam L posted a job: Advanced Datastage Training DEMO available ( Job Oriented) - Batches starting immediately DEMO available!! Enroll immediately!! "Online Datastage Training is a pioneer in offering job oriented trainings with specialization in software field. Our innovative and proven techniques will assure your complete satisfaction of the training. We have trained numerous amount of students with a mission of one stop training place for software field. *NOTE: Remote Training is available.* All the classes are conducted LIVE ONLINE and students can access the class from anywhere in the country provided they have High Speed Internet. We will send you the further steps according to your request. Please send mail to sam@infotekexperts.com"

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New job Regulatory Inquiries and Examinations – Compliance Manager Jersey City, New Jersey

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Regulatory Inquiries and Examinations – Compliance Manager Jersey City, New Jersey Gerald Elliott posted a job: Regulatory Inquiries and Examinations – Compliance Manager Jersey City, New Jersey "Our client is a division of a diversified financial services firm. The Company seeks a talented candidate for a position as a Manager in the firm's Regulatory Inquiries and Exams unit within the Compliance Department. The position will entail serving as a liaison and intermediary with regulatory agencies. Responsibilities of the role will include: Responding to various types of inquiries from regulatory organizations, such as FINRA, NYSE, CBOE, SEC and Federal Reserve Bank; Working closely with all levels of management across different lines of business and legal and compliance departments to craft responses to inquiries that may involve sales, trading, operations and regulatory reporting requirements; Identify suspicious or unusual activity; file internal incident reports; Direct interaction with staff at regulatory bodies in the course of responding to inquiries; Research, analyze and prepare timely responses to regulatory inquiries; Manage and facilitate the Firm’s interaction with regulators conducting examinations on site; Prepare daily, weekly, and monthly reports; provide updates, identify, follow up and track corrective action as needed as a result of inquiries and exams Prepare statistical information and reports identifying inquiries Qualifications: JD preferred; 7 – 10+ years from clearing or large self clearing broker dealer or equivalent regulator experience extensive knowledge of NASD/FINRA/ NYSE rules covering operations, sales and trading Experience, either in-house, with law firm, or with regulator, in handling regulatory inquiries from FINRA, NYSE, and SEC – Required In-house experience at broker-dealer firm that includes responding to requests from regulators - Highly Preferred Experience in financial services operations, including regulatory reporting requirements such as TRACE, OATS, INSITE, Margin, etc. To apply please submit your resume to Info@compliancesearch.com"

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New job Compliance and Administrative Branch Manager – High-Net-Worth Compliance, Greenwich, CT

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Compliance and Administrative Branch Manager – High-Net-Worth Compliance, Greenwich, CT Gerald Elliott posted a job: Compliance and Administrative Branch Manager – High-Net-Worth Compliance, Greenwich, CT "The high-net-worth client division of a top-tier investment bank seeks a Compliance and Administrative Manager for their Greenwich, CT offices. The Role of the Compliance and Administrative Manager is to implement and ensure that internal and external policies and procedures are followed at the branch level. Additionally, other Branch administrative functions may be assigned to the Admin Manager. He/she will be responsible for the branch’s overall Sales Practice effort, including but not limited to: • Ensuring adherence to internal policies and regulatory requirements • Accountable to understand and fulfill all responsibilities but not limited to responsibilities identified on Administrative matrix • Develop, implement and modify as needed Sales Practice programs for entire branch office • Communicate compliance, sales practice and legal issues of importance to senior management • Coordinate and manage audits conducted by regulatory agencies and internal audit department • Conduct yearly book reviews with brokers in conjunction with the Regional Manager • Facilitate the execution of certain transactions that require Compliance and/or legal intervention • Investigate and resolve customer complaints involving sales practice, operational and administrative issues • Inform & educate Sales Force, senior management, operational and support staff of continually changing industry rules and regulations • Execute all Sales Practice functions in conjunction with the Regional Manager • Assist in achieving the Firm’s goal to generate revenues while balancing the department’s obligation of adhering to internal and external rules and regulations • Approve and review discretionary and advisory accounts which may carry additional risks to the Firm • Included but not limited to: review of daily trade blotters and Alerts, conducting book reviews, approving new accounts, enforcing documentation policy, suitability review, review of advisory accounts, review of employee trading, and review of errors • Manage support staff Person Requirements Basic Qualifications: Bachelors degree Broker/dealer and/or branch brokerage sales experience with an expertise in compliance and/or business control Series 7, 63 or 66 , 8 or 9/10 licenses To apply please submit your resume to Info@compliancesearch.com"

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