Vice President, Compliance

Anti-Money Laundering (Know Your Customer) - Account opening/screening process

Suspicious Activity Review (SAR) filings

Participate in Fraud Detection Committee

Mentor junior team members

Client Due Diligence Questionnaires

15a-6 account opening and monitoring

Employee Continuing Education

Employee Trade Approval

Marketing Review

Maintaining internal Watch and Restricted lists

Reviewing research publications with respect to the internal Watch list to ensure compliance with regulatory obligations


Qualifications :
5+ years of broker/dealer compliance, broker/dealer internal audit, FINRA or SEC experience

Ability to multi-task and prioritize

Ability to be highly analytical when collecting, analyzing, and synthesizing information across various projects and reviews

Anti-Money Laundering/Know Your Customer experience required

BA or BS degree required

Series 7 required

Must have ability to obtain Series 24


Required Years of Experience :
5
Additional Info :
For more information contact Adam ******

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