Compliance Officer- Capital Markets recruitment
This person will oversee compliance of all Fixed Income Trading activities, administer the compliance monitoring and testing program for the firm, and act as a liaison in the collection and maintenance of all required employee disclosure and investment records necessary for corporate policies and regulations.
3 Main Areas of Duties Include:
Firm's Compliance Monitoring Program
Anti-Money Laundering
Registrations, Renewals and Continuing Education
Requirements:
- Minimum 3+ years compliance experience or comparable experience with a financial institution. Must have strong Fixed Income Product knowledge.
- Knowledge of applicable regulations and securities laws.
- Ability to pro-actively interact with Line of Business management and staff
- Strong communication skills, initiative and work ethic.
- Series 7(or 52), and Series 24 (or 53) licenses preferred, but not required.
For immediate consideration email erin.cook@roberthalffsg.com
January 7, 2012
• Tags: Capital Markets careers in the USA, Compliance Officer- Capital Markets recruitment • Posted in: Financial