Clear all search filters

Our client, an international bank, is looking for a Senior Compliance Officer to handle the Compliance program for the South Florida region. This position reports directly to the Chief Compliance Officer, located in New York.

The main responsibilities include monitoring employee trading, reviewing email correspondence, approving new accounts, and presenting monthly status reports to the firm's CEO. This candidate will interpret and keep the business up to date with new rules and regulations. This candidate will implement firm policies and procedures and monitor the activities of registered representatives by reviewing surveillance reports.

The Senior Compliance Officer will act as a liaison between regulatory examiners and internal audit teams as necessary. This candidate must also respond to regulatory inquiries and investigate possible violations.

The client prefers candidates with at least 7-10 years of experience in the financial services industry; Series 7 and 24 are required.

Job presented by