Full-service broker/dealer located in central New Jersey is seeking a skilled full-time Assistant Chief Compliance Officer. Candidates must hold Series 7 and Series 24 licenses, have a minimum of 5 years’ experience as a compliance specialist and be capable of assuming the duties of the Chief Compliance Officer, when necessary.
Candidates must have a strong and thorough understanding of the financial securities industry, specifically in a broker/dealer capacity. Experience in dealing with the various regulatory agencies is required.
Duties:
· Coordinating with Firm management to identify potential risks.
· Develop and Implement Firm policies and procedures to uphold laws, rules and
regulations
· Monitoring the Firm’s adherence to policies and procedures
· Reviewing and monitoring Firm’s WSP’s in response to changing regulations and Firm
policies
· Responding to inquiries from all regulatory bodies (i.e., FINRA, SEC, Nasdaq, etc.)
· Monitoring electronic communications and social media
· Responding to clearing firm inquiries
· Deal with non-compliance situations and creating realistic plans to overcome them
· Conduct regular audits to identify potential weaknesses and non-compliance
situations
· Communicate with employees and independent contractors to assure all are aware of
what they need to do to comply with internal and external rules, laws and regulations.
Your qualifications and experience may affect the salary range.
Job Type: Full-time
Pay: $95,000.00 - $130,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Life insurance
- Paid time off
Schedule:
Experience:
- related compliance: 5 years (Required)
Ability to Commute:
- Red Bank, NJ 07701 (Preferred)
Ability to Relocate:
- Red Bank, NJ 07701: Relocate before starting work (Preferred)
Work Location: In person
