A boutique broker dealer located in Greenwich, CT looking to bring on board a “Compliance Officer” to join their team. The role is currently full time in office.
Responsibilities:
Ensure adherence to all applicable regulatory requirements, including SRO examinations, audits, filings, and surveillance.
Serve as liaison with regulatory bodies and facilitate regulatory inquiries audits.
Supervise the implementation of compliance policies, procedures, and internal controls across business lines.
Ensure effective implementation of AML policies and procedures.
AML surveillance, identify potential suspicious activities, and file Suspicious Activity Reports (SARs) as necessary.
Conduct AML training for employees and maintain up-to-date knowledge on evolving AML regulations.
Provide strategic advice to senior management on legal, regulatory, and compliance risks across all business operations, particularly in sales and trading.
Design and implement corrective and preventative actions in response to compliance issues and regulatory breaches.
Facilitate supervisory controls, including monitoring personal account dealing, outside business activities, political contributions, and trade surveillance.
Conduct regular reviews and audits of the firm's offices (OSJs and branches), identifying areas for improvement and implementing corrective actions where necessary.
Develop, implement, and maintain written supervisory procedures (WSPs) that govern the firm’s broker-dealer activities.
Ensure all communication with the public, including electronic communication, advertising, and research, is in compliance with applicable regulatory guidelines.
Maintain and update the firm’s compliance manuals, policies, and procedures to ensure they remain current and compliant with evolving regulations.
Facilitate continuing education programs.
Collaborate with other departments to support regulatory filings, compliance reporting, and employee compliance training programs.
Crossfire Consulting is staffing company and this position is for our direct client: Technician Integration Engineering At Blue Origin, we are committed to building a future where millions of people live and work in space. By designing and manufacturing the safest...
...help their three kids in the Miami area. The nanny will help with childcare , errands , vendors at the home, events , pet care , and ideally would be happy to travel . The first few hours of the day will be focused on household tasks, until the kids come...
...communicating with vendors and customers * Experience with Niagara software, NexRev, Novar, HVAC controls, and building management system (BMS) operation Additional Info: * Pay range: $80,000 to 86,000* Schedule: M-F 8:00 am to 5:00 pm * Location: In office...
Txoj Hauj Lwm Npe: Cov Kws Tshaj Lij Muab Kev PabCov Lus Qhia Ua Haujlwm: Tus Kws Tshaj Lij Muab Tus Thawj Coj muaj lub luag haujlwm saib xyuas thiab ua haujlwm tshwj xeeb rau cov khoom noj rau Metro Cov Khoom Noj ntawm Cov Log.Tus Kws Lis Haujlwm (Administrative Specialist...
...certification is required. This is a labor intensive job with repetitive tasks. Full Time Job - Moday-Friday 5:30am start time BakeryProduction: Operate 140q mixer Mixdifferent types of cookies, banana bread and other desserts following existing recipe's...