Broker Dealer Compliance Officer

The Oneil Search Group; United States; On-site; USD 120,000 - 170,000; Full time

Job summary

The Oneil Search Group is seeking a regulatory compliance professional to partner with the firm's compliance team in updating and developing internal policies and procedures for institutional trading. You will oversee the Firm's Trade Monitoring and Surveillance, and assist with regulatory reporting and responses to exams.

Additionally, you will review electronic correspondence and marketing materials, uphold ethics requirements, and maintain open relationships with regulators such as FINRA and

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.

Job description

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.