Compliance Officer (Clearing) recruitment
This is an exciting opportunity to join a newly created program in a position designed to offer significant responsibility and growth.
Responsibilities include, but are not limited to:
- Developing and implementing operational procedures for Firm self clearing initiative;
- Performing reviews to ensure compliance with pertinent rules and regulations, including Rule 3012, Rule 204, and Reg SHO;
- Liaising with FINRA on regulatory audits pertaining to clearing
- Additional responsibilities as should be required as part of Firm self clearing initiative.
Ideal candidate will have:
- Minimum 5 years experience at a Broker Dealer;
- Bachelors degree is required; JD is a plus;
- Experience with the Broadridge system is required; Equity Options CMTA process is a plus;
- Working knowledge of Clearing and Equities Trading
- Must be a self-starter with the ability to multi task in a fast paced, dynamic atmosphere;
- Flexible approach and willingness to accept new responsibilities and challenges;
- Strong oral and written communication skills
This position is based in New York. The organization offers its employees a competitive salary, bonus and 100% paid benefits package, together with the opportunity to work within a stimulating and innovative environment.
Contact
If you are interested in finding out more about this role, or would like information on how to register proactively with Michael Page please press the apply button (or alternatively please reach out to Karishma Patel at kpatel@michaelpage.us.com or 212 661 4800). Karishma is a specialist Regulatory Compliance Recruiter.
Michael Page International is one of the World’s leading professional recruitment consultancies, specializing in the placement of candidates in permanent, contract, temporary and interim positions with clients globally.