Job Responsibilities: Work with the CCO, and other senior colleagues to implement best practices. Perform risk assessments, monitoring and surveillance activities to ensure best practices. Perfom AML functions. Conduct periodic reviews and maintain and update the firm’s WSPs. Draft and assist with communications and responses to regulatory bodies including preparation of regulatory filings. Assist CCO with all regulatory exams, inquiries, and new compliance program initiatives. Execute appropriate testing of firms Control Supervisory Procedures (CSP's) and analyze key performance indicators to confirm requirements of the business policies and programs are maintained at a level commensurate with regulatory expectations. Prepare complete, accurate documentation of compliance monitoring and surveillance activities Report findings to Senior Management and provide timely follow-up on outstanding issues. Perform other duties as required and assigned by CCO and upper management. Job Requirements: 5+ years’ experience in a compliance role with a Self Clearing broker-dealer with particular knowledge of equity markets, option markets and AML regulations. Required FINRA Licenses: 7, 63 and 24. Must be knowledgeable of U.S. securities laws, particularly the Securities Act of 1933, the Securities Exchange Act of 1934, and other SEC & FINRA regulations. Compensation : Compensation package offerings are based on candidate experience and technical qualifications, as it relates to the role. These are identified and determined throughout your interviewing experience. Location: New York and New Jersey #J-18808-Ljbffr Ajccorp
Pet sitter, this Friday th Sunday in home , and also at the end of month , possible 3 to 5days Small dog ,Please visit to view full details and to apply. Lots of jobs to choose from!
...We are seeking a Construction Project Engineer to join our team in San Antonio, TX. This role is ideal for a candidate with industrial construction project experience who is looking to advance their career in a dynamic and fast-paced environment. You will support...
...Job Summary The Quarry Supervisor oversees daily operations at the quarry, ensuring efficient and safe extraction, processing, and delivery of raw materials to meet production targets. This role is responsible for supervising quarry crews, managing equipment and resources...
I am seeking a honest reliable dependable pet sitter with excellent references for my sweet protective small German Shepherd rescue Lucy . My emotional support Service dog in training An urgent last minute Dr's appt Tuesday Dec 30th. TG for my cousins driving me to the...
...for a CDL Class B driver responsible for operating bulk trucks and installing blasting products at construction sites, mines, and quarries while maintaining equipment. The position involves a blend of driving (40%) and physical labor (60%) under various weather conditions...