This Job Vacancy has Expired!

Central Compliance Coordinator

Posted on Jan 31, 2019 by The Forum Group

New York, NY 10001
28 Jan 2019
Annual Salary

• Administer the FINRA registration requirements for the region in support of the CCO of our Broker-Dealer including the requirements related to onboarding/off-boarding of reps, tracking the number of registered reps, preparing any required reporting, and notifying reps of training/educational requirements
• Coordinating the Personal Account Dealing requirements for the region, including but not limited to managing the workflow within the Personal Trading Approval system; escalating any identified policy breaches for Markets Compliance for investigation; and reports on employee trading activity and watchouts
• Coordinates the process for tracking, assessing and r eporting on e mployee Outside Business Activities
• Supports the process and reporting related to employee Gifts and Entertainment activities
• Provide support as needed to compliance training, including coordinating training session, assisting with content development, assisting with tracking and follow-up activities, and preparing any related reporting.
• Special projects as required

• Bachelor's degree or equivalent work experience required
• Strong communication and presentation skills, both verbal and written
• Ability to interface effectively with all levels of management
• Strong attention to detail with a pro-active approach to solving and preventing problems by exercising discretion and independent judgment
• Ability to operate effectively in a matrix managed international organization with multiple reporting lines
• Previous experience with FINRA/CRD preferred
• Ability to work under pressure/deadlines and independently manage multiple priorities with limited supervision or direction
• Series 7 or other registrations a plus
• Experience with Sharepoint a plus

Responsible for coordinating several key GM-CO processes supporting employee conduct and behavioral policies and procedures, and act as registrations coordinator for the region.

Reference: 635080804

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