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Branch Compliance Risk Officer, Large Broker Dealer, New York, NY

  • Job type: Permanent
  • Location: New York
  • Salary: Competitive
  • Job reference: 08/07/17
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • Date posted: 07/08/2017

My client is a large financial services company looking for a Branch Compliance Risk Officer to head the compliance efforts for an important branch of the broker-dealer business in Manhattan. The branch has over 100 Financial Advisors and will require an experienced compliance professional to handle the demands of this critical location.

Ideally, a candidate will be able to supervise the branch offices and any off-site employees for the firm. This individual will have to focus on business ethics and regulatory practices to ensure proper procedure is followed. This individual will be responsible for annual FA reviews and preparation and response to any audits. The position will liaise with the legal department to review any client complaints and will be responsible for managing and determining any risk for client contacts. In addition, daily surveillance and review of trading activity is expected. The role itself will report to branch management and corporate compliance management within the head office.

Finally, as a requirement, the ideal candidate will have earned and maintained their Series 7, 8 (or 9,10), 63, and 65 (or 66). The Series 3 license is preferred as well.

 

KEYWORDS: COMPLIANCE, BRANCH MANAGER, RISK, BROKER DEALER, SERIES 3,7, 8, 9, 10, 63, 65, 66, MBA, AUDIT, REGULATORY, MANAGEMENT, MANHATTAN, NEW YORK, LEGAL, SURVEILLANCE, FINRA

Branch Compliance Risk Officer, Large Broker Dealer,  New York, NY

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