Chief Compliance Officer – Broker Dealer recruitment
Chief Compliance Officer – Broker DealerDescription:• Implement a supervisory system, including the updating and drafting of written supervisory procedures, anti-money laundering procedures and a business continuity plan• Review and process registration requests and updates, including filing of Form U-4 and Form U-5• Review email communications• Update and implement process for annual review required under Rule 3012. Report results of review to the firm’s President and Board of Directors• Review and approve correspondence and marketing materials distributed by registered representatives Read more […]
Assistant Controller – Broker Dealer recruitment
About our companySince 1974, The Bachrach Group’s philosophy has ensured excellence in providing services to our corporate clients and to our candidates. When first formed, The Bachrach Group specialized in the accounting and financial fields. Over the years we have successfully diversified and today we specialize in staffing solutions in the following areas: Accounting Finance, Technology, Administration Office Support, and Real Estate Construction. Our is major (non-US) based International Investment Bank currently looking to add a motivated Assistant Controller to their growing Financial Read more […]
Chief Compliance Officer – Broker Dealer recruitment
The Chief Compliance Officer (CCO) will be responsible for the following:* Develop and maintain supervisory procedures. * Monitor new regulatory mandates, rules, and requirements * Main point of contact with regulators, and auditors.* Act as point of contact for the Investment Advisory business.* Serve as the Anti-Money Laundering (AML) Officer. * Develop procedures to ensure compliance with all continuing education requirements for firm and individuals.* Draft a compliance plan and perform an annual compliance risk assessment.* Review employees brokerage statements, e-mail, and IM Messages. The Read more […]