Compliance Officer - 80682

Join our finance/banking client for a 6 month contract!

The role would require going onsite twice per week in New York City 10036.

W2 ONLY

Must-Have Skills:

• College Degree

• 1-3 years experience in Compliance

• Strong attention to detail, communication skills, critical thinking skills, and people/project management skills

• Willing to take initiative, ask questions, and foster an overall positive team environment

Nice to Have Skills:

• Previous compliance experience at a major Financial Institution

• Previous experience with Smarts [surveillance software]

• Knowledge of U.S. securities rules and regulations; particularly SEC and FINRA.SIE EXAM

Role Responsibilities Include (but are not limited to):

• Initiate and monitor testing related to the equities trading business

• Monitor controls that cover trade reporting, execution, and electronic communication

• Assist in policy creation and streamlining of existing procedures

• Branch inspection reviews covering the various locations the business runs out of

• Knowledge of U.S. securities rules and regulations; particularly SEC and FINRA.

• Coordinate and perform ongoing risk assessments and compliance reviews to ensure compliance policies and risk controls are operating appropriately. Create analyses of risk assessments for LOB business group(s).