Location
:
551 Fifth Avenue Suite 630
New York, NY 10176
(
Map it!)
Employee Type
:
Full-Time
Industry
:
Accounting - Finance
Banking - Financial Services
Job Type
:
Finance
Banking
Education
:
4 Year Degree
Experience
:
5 to 7 years
Contact Information
Ref ID
:
RK 3429 raizak@apaintl.com
Compliance Officer, VP $$$
Prestigious International Financial Firm seeks a Compliance Officer to join their team to perform ongoing management and execution of risk-based regulatory compliance testing and monitoring program.
Responsibilities include:
- Assist in ongoing development and implementation of comprehensive compliance testing and monitoring framework
- Assist in performance of annual risk-assessment of various laws and regulations in support of compliance testing and monitoring
- Assist with annual policies and procedures reviews and revisions
- Assist in monitoring of all regulatory changes ensuring communication of new requirements and procedures where applicable
- Support personal trading surveillance activities including on-boarding of new employees, watch/restricted list maintenance, timely disposition of violations and maintenance of surveillance systems
- Assist with development, delivery and tracking of corporate compliance training programs