Junior Compliance Officer

Job Description

Job Description

An institutional broker-dealer, is seeking a Junior Compliance Specialist that will be responsible for broad-based compliance coverage supporting nearly all aspects of the firm’s businesses. The role will support our institutional trading and sales, equity research, investment banking, electronic trading, and prime services divisions with an emphasis on trade monitoring and surveillance and CAT reporting. This is a highly visible role with a great opportunity to grow in your career.

Monday-Friday 6:00am-2:30pm

$80,000-$150,000/year + Benefits

Responsibilities:

• Partner with the Firms compliance team in updating and developing internal policies and procedures for institutional trading.
• Manage the Firm’s Trade Monitoring & Surveillance.
• Assist with regulatory reporting management (CAT/606/CAIS).
• Conducting or assisting in preparing information and responses to regulatory exams and inquiries.
• Reviewing electronic correspondence and firm’s marketing material.
• Review of the Firm’s employee code of ethics requirements (Personal trading, OBA and private securities transactions).
• Establish and maintain open and effective relationships with regulators such as FINRA and the SEC.
• Trading desk liaison.
• Continuing education management.
• Restricted 144 and Legal Sales.
• Best Execution Committee Manager.
• Wall crossing chaperoning and restricted list management.
• Complete clients AML/KYC annual questionnaires.
• Branch and department audits.
• Assist with onboarding of new clients, such as AML, KYC, and CIP issues.
• Other duties as assigned.

Qualifications:

• 5+ years of broker dealer compliance experience
• Active Series 7, 63 or 57 License
• Trade monitoring and surveillance experience
• CAT, CAIS and 606 reporting experience
• Familiar with FINRA and Nasdaq systems

Company Description

Crossroads Staffing is a nationwide talent solutions firm that specializes in matching the right job with the right candidate fast! We offer temp, contract, temp to hire and direct hire opportunities within various industries, our specialties being in the Administrative, Information Technology, Human Resources, Accounting, Customer Service, Manufacturing and Legal fields.

We know how daunting the job search can be, so we offer a quick and easy hiring process without extra hoops to jump through. Our structured interview process allows us to get a sense of what qualities you bring to the table, and how those correlate with our current openings. We're here to represent you and help you on the path towards finding your next career opportunity. All you have to do is apply!

Company Description

Crossroads Staffing is a nationwide talent solutions firm that specializes in matching the right job with the right candidate fast! We offer temp, contract, temp to hire and direct hire opportunities within various industries, our specialties being in the Administrative, Information Technology, Human Resources, Accounting, Customer Service, Manufacturing and Legal fields. \r\n\r\nWe know how daunting the job search can be, so we offer a quick and easy hiring process without extra hoops to jump through. Our structured interview process allows us to get a sense of what qualities you bring to the table, and how those correlate with our current openings. We're here to represent you and help you on the path towards finding your next career opportunity. All you have to do is apply!