Compliance Officer

  • Negotiable
  • New York, NY, États-Unis
  • CDI, Plein-temps
  • Non-disclosed
  • 16 nov. 17 2017-11-16

We are a global European bank with a growing NY office. We have an exciting opportunity on our Compliance team. If you have corporate banking experience as a Compliance Officer with the following experience, we would love to hear from you! Specifically, candidate must have prior experience working for a Broker-Dealer, compliance testing/surveillance, control room, and Compliance Program implementation.


  •  Assist in the overall design and implementation of the Compliance Program for US Broker-Dealer
  •  Perform periodic Compliance testing/surveillance and ensure successful and timely completion of the Compliance program
  •  Maintain Restricted, Watch and Marketing Lists and handle Conflicts Clearance 
  •  Monitor employee personal trading
  •  Monitor electronic communications
  •  Draft and maintain policies and procedures
  •  Assist in producing responses for regulatory examinations and internal audits
  •  Assist in developing and conducting targeted and annual compliance training

 Incumbent does not supervise any staff.

Education, Experience and Key Competencies

  •  7 + years of experience in general compliance, within the financial services industry
  •  Experience with compliance testing and internal controls for sales and trading and investment banking businesses. Control Room experience is highly desirable
  •  Strong organizational and effective communication skills, including presentations and public speaking
  •  Must be highly flexible, multi-task oriented and capable of changing directions based on business demands
  •  Team-oriented with strong interpersonal skills, ability to manage conflict and deal with pressure in a positive manner
  •  Bachelor's degree from an accredited college/university, preferably in accounting, finance, economics or related discipline. J.D. degree is a plus