Role & Responsibilities:
- Report directly to the VP of North American Compliance
- Responsible for Compliance related tasks for the Firm’s US (SEC & FINRA) and Canadian (IIROC, OSC) regulated businesses including, but not limited to:
- Manage, carry through of the annual internal Compliance review. Prepare testing matrix, manage independent tester, draft findings reports.
- Act as primary contact, manage matters relating to third party Compliance vendors at onboarding and on an ongoing basis.
- Partner with Client Team personnel to identify client entities requiring KYC due diligence be completed. Prepare KYC documentation for CCO approval. Assist in KYC related research.
- Assist in revisions of the Firm’s Written Policies & Procedures, Training Materials, Certifications. Assist in evaluation of regulatory rules (i.e. FINRA Rules 3110, 3120).
- Assist in SEC Form ATS amendment filings..
- Complete all FINRA regulatory registrations of staff, background checking procedures in connection with registration related requirements.
- Complete quarterly, annual, ad-hoc reporting, filings required by the IIROC, OSC, AMF.
- Assist in internal & external regulatory exams (SEC, FINRA, IIROC, Independent AML Review).
- Maintain compliance with the Firm’s Book & Records keeping requirements.
- Bachelors required
- 5-7 years of financial services industry compliance experience required (FINRA experience preferred)
- Outstanding written and verbal communication skills
- Tremendous attention to detail, comfortable working in small firm fast paced environment
- Comfortable communicating with all levels of Staff, including Senior Management
- Self-starter, works well both independently and in collaboration with other Staff, vendors, and regulatory contacts as needed
- Strong pride in work product
- Experience working in Global Relay preferred
- Proficient in Microsoft Word Track Changes
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