Compliance Consultant recruitment

This role has the potential to be converted in to a full time CCO position.

Responsibilities:

Assist in developing and maintaining broker dealer and ATS compliance policies and procedures
Monitor the Firm's Continuing Education requirements and conduct annual compliance meetings and training as appropriate.
Monitor and review the Firm’s electronic communications including email, Bloomberg chats, Instant Messages, etc.
Maintain and enforce the Firm’s AML program and conduct OFAC, FINCEN and SAR reviews on a periodic basis.
Maintain and coordinate all aspects of the Firm’s Business Continuity Program.
Assist with the coordination, production and approval of various communications with the Firm’s clients including product enhancements and marketing materials (brochures, web site content, social media and PowerPoint presentations).
Manage all non-financial aspects of FINRA BD audits and prepare all required regulatory filings including WebCRD (Forms BD, U4, U5, etc) and applicable ATS filings
Participate with internal committees organized to assess marketplace quality and make recommendations on marketplace policies.
Work closely and effectively with sales, operations, technology and integration teams and provide guidance on regulatory and compliance issues.
Perform and complete other related responsibilities and projects as necessary

Requirements:

Ability to work independently and demonstrate initiative and anticipate future needs and challenges
Securities lending and prime brokerage compliance experience not required but a strong plus
Previous ATS experience a plus
Excellent writing and communication skills
Word and Excel required. Experience with securities industry compliance software a plus
5-10 years industry experience

Please email resumes to careers@quadriserv.com.

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