Job Description A Broker Dealer located in New York City is looking for a Compliance Associate to work in the Compliance Department.
Responsibilities:
Candidate will work in the Compliance Department and report directly to the Compliance Department.
Will be responsible for the AML activity of the firm.
Will be responsible to audit the OSJ offices once a year.
Skills Required Must have some trading desk surveillance background.
Should have some experience auditing branch offices.
Should have other compliance experience from working in a Compliance Department.
Should have AML experience.
Regulatory experience is a plus.
Series 7 and 24 are a plus.
Candidate should have 5-10 years experience working in the compliance area of a Broker Dealer.
Salary Range This is a full time position which will pay up to 100k plus a bonus.
How To Apply Contact Tony Savoca at Momentum Resource Solutions at asavoca@momentumrs.com and then call him at 732-738-0929.
Tony Savoca |
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