Compliance Officer – Long Island recruitment
Responsibilities
- Oversee all private placement compliance matters
- Prepare necessary due dilligence
- Maintain and update Written Supervisory Procedures (WSP's)
- Develop Regulatory Continuing Education Training
- Maintain and update when necessary employees CRD
- Perform AML monitoring and testing
- Respond to FINRA regulatory inquiries
- Oversee e-mail account surveillance
- Research and respond to investigations and complaints
Requirements
- Possess a clean U-4 with the following licenses: Series 7, Series 24, Series 55, and Series 99
- Minimum of 3 years experience working in a compliance department of a firm whose products include private placements
- Strong understanding of the due dilligence requirements for private placements
- Team player attitude
- Ability to multi-task with strong attention to detail
***This position has the potential to become the Chief Compliance Officer.***
If you qualify please send resume to
rkramer@imsrecruiting.com
August 13, 2012
• Tags: Compliance, Compliance Officer, Legal careers in the USA, Long Island recruitment • Posted in: Financial