Financial Jobs NYC #21702
Are you a compliance professional with strong knowledge of futures and broker/dealer processes? Do you have a JD or MBA with at least 3 years experience in Finance?
We are seeking a Senior Regulatory Audit and Inquiry Officer for a top international investment bank, working to ensure compliance across all of firms activities and coordinating information with external industry regulating organizations.
Senior Regulatory Audit and Inquiry Officer Responsibilities:
- Respond to all information requests from securities regulators
- Coordinate as needed on audits and exams
- Liaise across organizational units
- Conduct research and compile findings in reports/presentations
- Share information with senior management and assist in strategy sessions
- Review trading activity, market data and monitoring reports to ensure compliance
- Identify and escalate issues as needed
Senior Regulatory Audit and Inquiry Officer Requirements:
- 3+ years experience in the Finance Industry
- Bachelors degree with a JD or MBA
- Previous compliance or legal experience with industry regulators i.e. SEC, FINRA, NYSE, CME, NFA
- Strong knowledge of futures trading processes, broker/dealer process and industry regulations
- Advanced level user of MS Office Word, Excel, Power Point and Access
- Thirst for knowledge and personal integrity
This Senior Regulatory Audit and Inquiry Officer is a NYC finance consulting position that is expected to last at least 3 months with possible direct hire and pays an annualized salary of $124,800 ($60 per hour/per day).
