Compliance Manager - Broker/Dealer

    • New York, NY

Kforce's client, a broker/dealer headquartered in New York, NY, is seeking a Compliance Officer for their Manhattan office. This is a company with tremendous stability and growth, and it has a track record of offering both to their employees over the past 30 years. Responsibilities:

  • Manage broker-dealer core compliance obligations, including, registration processes, continuing education, annual training
  • Execute on our broker-dealer compliance functions
  • Work with the broker-dealer Operations and Trading teams to ensure regulatory compliance with applicable rules and regulations
  • Complete the annual review of the broker-dealer's compliance program and independent AML audit
  • Manages and continually improves Compliance Program
  • Develops and maintains a broad knowledge and awareness of the investment industry and regulatory and/or policy changes.
  • Update written supervisory procedures and draft desktop procedures for broker-dealer functions
  • Assist with our regulatory and annual compliance examinations
  • Monitor employee communications in accordance with the firm's e-surveillance program
  • Coordinating with federal and state regulators.
  • Planning, implementing and overseeing risk-related programs and Assisting with compliance questions and other needs

  • Bachelor's degree in law, finance, business management or a related field
  • 3 - 5 years' proven experience in a compliance officer role and broker/dealer-related and escalations
  • Series 7 or equivalent required, Series 24 preferred or attained upon hiring
  • Broker-Dealer experience in Operations or Finance
  • Knowledge of broker-dealer financial responsibility rules
  • Good knowledge of legal requirements and procedures
Kforce is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity, national origin, age, protected veteran status, or disability status.

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