Dublin Airport DUB
Dublin Airport is the principal international gateway to the island of Ireland handling 27.9 million passengers in 2016$1. .$1
1001 - 5000
Compliance Officer / Brokerage Operation
February 29
🏢 In-office - Manhattan
Dublin Airport DUB
Dublin Airport is the principal international gateway to the island of Ireland handling 27.9 million passengers in 2016$1. .$1
1001 - 5000
Description
• Assist CCO with managing the administration of the broker dealer program • Assist with AML and CIP requirements for onboarding new customers. • Assist with servicing client related requests/issues. • Compile information required to submit Firm regulatory filings • Oversee registration of personnel, including pre-hire review, obtaining required documentation, submitting regulatory filings, and the maintenance of records • Review employee requests, such as new brokerage accounts, outside business activities, and gifts and entertainment • Coordinate with CCO to develop the Firm’s internal compliance dashboard for servicing client accounts, managing the books and records database, corporate actions, and other operational tasks. • Review and maintain broker dealer written supervisory procedures and operational procedures • Assist with administration of marketing materials workflow • Assist with audits and regulatory inquiries and exams, including document and data retrieval • Assist CCO with scheduled meetings, including maintaining agenda and follow up items • Support and assist with audits, special projects and ad hoc requests/tasks as required
Requirements
• Have or develop strong understanding of FINRA, SEC and other relevant regulatory rules, regulations and guidelines • 7+ years of broker dealer experience preferred • Previous broker dealer compliance or other financial services responsibilities a plus • Knowledge of FINRA Rules required • Proficient in Microsoft Office Suite (Word, Excel, PowerPoint) • Bachelor’s Degree (or equivalent relevant experience) • Series 7, 24, and 63 licenses required • Strong sense of ownership and accountability • Adept at working in a fast-paced environment • Solutions oriented • High accuracy and extremely detail-oriented • Effective communication skills and excellent client-service orientation; responsive and dependable • Exceptional organizational skills • Comfort in dealing with ambiguity and uncertainty in a dynamic start up environment • Dependable, highly motivated team player; fosters team collaboration.
Benefits
• Competitive market comp ($60k - 150K based on experience) • Generous amount of equity in dub
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