A top tier bank located in NYC is looking to hire a Control Room Compliance Assistant Vice President to their team. The AVP will get to be a part of a global company with over 100,000 employees worldwide, ensuring an effective compliance program is developed and maintained. This position will be on a hybrid schedule with flexible work from home arrangements.
Responsibilities :
-Assist with maintenece of Watch & Restricted Lists
-Monitor employee personal trading
-Drafting of compliance policies and procedures
-Devlop and maintain relatioships with external stakeholders, as well as provide consulting on Conflicts of Interest, Personal Trading & Material Non Public Information
Requirements :
-Atleast 5 years' of relevant Control Room Compliance experience
-FINRA broker dealer experience strongly desired
-Series 7 & 24 a plus!
This role will be a key member of the firm's control room, apply today!