Compliance Officer – Long Island recruitment
ResponsibilitiesOversee all private placement compliance mattersPrepare necessary due dilligenceMaintain and update Written Supervisory Procedures (WSP’s)Develop Regulatory Continuing Education TrainingMaintain and update when necessary employees CRDPerform AML monitoring and testingRespond to FINRA regulatory inquiriesOversee e-mail account surveillanceResearch and respond to investigations and complaintsRequirementsPossess a clean U-4 with the following licenses: Series 7, Series 24, Series 55, and Series 99Minimum of 3 years experience working in a compliance department of a firm whose products Read more […]
August 13, 2012
• Tags: Compliance, Compliance Officer, Legal careers in the USA, Long Island recruitment • Posted in: Financial • Comments Off on Compliance Officer – Long Island recruitment