Senior Compliance Officer

Our client, a well-established Broker Dealer is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team.Key responsibilities include:Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regulations.Reviewing personal trading activities for all employees in the regionTrade surveillance reviewsAssist with the review of firm marketing materials.Understanding of FINRA & SEC marketing/advertising rules, public and private fund experience a plus.Compliance Testing ( Knowledge of FINRA rule 3120 a plus)AMLCompliance trainingRegulatory exams and inquiriesSeries 7 & 24 PreferredSeeking 2-5 years of compliance experience at a highly regulated investment bank or broker dealerBachelors DegreeSelf-starter with strong written & communication skills and with the ability to practice sound judgement and work independently and within a team dynamic.