Compliance Officer

We are always looking for talented professionals to join us in the path towards success.

SUMMARY

The Compliance Officer will assist with the monitoring and administration of the Firm’s Compliance and AML programs to ensure accordance with regulatory requirements. 

PRIMARY FUNCTIONS AND ESSENTIAL RESPONSIBILITIES

• Assist in the administration of the Firm’s Compliance and AML programs.

• Assist with the administration of the Firm’s Code of Ethics and Code of Business Conduct, including but not limited to the review & maintenance of staff personal dealing accounts, including related documentation, restricted lists, and trade pre-clearance, management of staff compliance training & certifications, and monitoring outside business activities.

• KYC & AML review of customer accounts upon new account opening and periodically as necessary

• Assist with broker-dealer licensing and registrations including processing U4/U5 submissions and amendments.

• Assist in ensuring the timely and accurate filing of regulatory reports for the broker-dealer.

• Help evaluate the adequacy and effectiveness of policies, procedures and internal controls.

• Investigate compliance issues as needed and report findings back to Compliance and senior management.

• Perform general compliance and AML related functions as instructed

• articipate in compliance related projects, complete internal filings and reports, and any ad hoc requests

• Run required reports in a timely manner i.e. FINRA Reports, OFAC Reports, FinCen Reporting, etc.

• Maintain professional growth and development through seminars, workshops and professional affiliations to keep abreast of the latest developments in broker-dealer related compliance areas.