Broker Dealer Compliance
: Job Details :

Robert Half Financial Services is recruiting for a Compliance role for an International Broker Dealer firm located in midtown Manhattan, New York. Our client requires 4+ years of Compliance experience at a Broker Dealer or an RIA, with knowledge of FINRA Regulations/Filings, policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC. Series 7 FINRA license is advantageous. This role is hybrid remote requiring 4 days per week in the midtown Manhattan New York office.

Responsibilities:

• Assisting with maintaining Compliance policies and procedures;
• Assisting with various audits, regulatory inquiries and filings;
• Performing daily trade reviews using proprietary systems and databases;
• Conducting monthly testing of client confirmations and best execution reviews under supervision;
• Regularly liaising with foreign affiliates;
• Maintaining internal Compliance records pertaining to clients and personnel;
• Assisting with client inquiries and client mailings;
• Assisting with Personal Account Dealings record-keeping;
• Assisting with Onboarding and AML/KYC;
• Performing other ad-hoc work/special projects as necessary.

Requirements:

• 4+ years of Compliance experience at a Broker Dealer or an RIA;
• Knowledge of FINRA Regulations/Filings, policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC;
• Series 7 FINRA license is advantageous;
• Bachelor's Degree

The Compliance role is located in midtown Manhattan New York so please only apply if you are able to travel to this location, have relevant experience for the role, and are eligible to work in the United States. The salary is dependent on experience, the range is $130-160k base plus 20-25% target bonus.