New job Broker- Dealer Compliance, Director Level Jersey City, NJ

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Broker- Dealer Compliance, Director Level Jersey City, NJ Gerald Elliott posted a job: Broker- Dealer Compliance, Director Level Jersey City, NJ "Our client, a top-tier investment management firm seeks a Compliance Director for their limited purpose Broker-Dealer Business. This role is responsible for managing the compliance program for the broker-dealer and reports to the Chief Compliance Officer. The candidate will responsible for: -Working with the Chief Compliance Officer to build upon, and execute against, the compliance plan; -Maintaining and drafting, where necessary, relevant policies and procedures; -Reviewing and testing compliance programs in accordance with FINRA rule 3012/3130; -Education of relevant employees including the annual compliance meeting; -Ensuring that the businesses have and sustain strong compliance control environments; -Providing advice and ongoing support to assist managers with their supervisory obligations; -Assisting with regulatory reporting matters and filings; -Oversight of the compliance professional responsible for handling continuing education and registration activities, including FINRA and state securities registration and licensing of the firm and its personnel; -Participating in other compliance department initiatives; and -Building relationships with each relevant senior business leaders. Qualifications: • 8+ years of relevant financial services/broker-dealer experience. • Bachelor’s degree required. • Licenses - specifically Series 7, 24. • Must be flexible and able to manage a diverse set of responsibilities. • Experience working in a registered broker-dealer is important. • Strong knowledge of securities/broker-dealer compliance, including FINRA rules and regulations, compliance requirements, and knowledge of related regulations. • Must be organized, have strong written and oral communication skills, be flexible. To apply please submit your resume to Info@compliancesearch.com"

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