Chief Compliance Officer- Broker Dealer New York City, NY

Chief Compliance Officer- Broker Dealer

• Company

  Michael Page International

• Location

  New York City, NY

• Compensation

  Competitive

• Position Type

  Permanent

• Employment type

  Full time

• Updated

  Feb 13, 2013

• eFC Ref no

  1039666

The Chief Compliance Officer will direct the compliance for the US broker-dealer subsidiary of a large global foreign institution.

The Chief Compliance Officer will direct all aspects of firm compliance including:

• Revision and approval of policies and procedures
• Surveillance
• Employee account trading policies
• Continuing education
• Serve as main contact for regulatory, government and legislative bodies
• Interface with SEC, FINRA, FED, State Regulators and other relevant agencies
• Liaise with legal and members of senior management

Requirements:

• Series 24
• Must have prior experience working in the US subsidiary of a foreign institution and have demonstrated proficiency in international stakeholder management
• Must have fixed income product knowledge
• Must be able to work independently and lead a lean team