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Job Order:
TTP

Job Type:
Permanent

Title:
Compliance Associate

Location:
New York

Description:
Start date: TBD

Duration: Temp to Hire

Description:
Assist Compliance Officer with various projects
Review/maintain correspondence files
Maintain Sales Material files
Assist New Accounts Department with periodic OFAC checks
Edit supervisory procedure and business continuity plan documents with direction from Compliance Officers
Manage disaster recovery site testing
Maintain schedule of supervisory assignments
Track roster of Registered Representatives
Catalog compliance testing results

Experience:
BA required
2+ years relevant compliance experience
Detail orientation and outstanding problem solving skills required


Category:
Asset Management // Broker Dealer

Contact:
tony@bcius.com