Back to Home Page
Communities Industries Employers JobSeekers Advertisers PJScout Resources Recruiters About
Keywords (e.g. nurse, sales) Category State City Radius
 
Financial Compliance Officer
NPAworldwide Recruitment Network
NPAworldwide Recruitment Network
 
How to Apply:


Job Location: Buffalo, NY
JOB DESCRIPTION

Job #: 14688
Title: Financial Compliance Officer
Job Location: Buffalo, New York - United States
Employment Type:
Salary: $40,000.00 - $75,000.00 - US Dollars - Yearly
Employer Will Recruit From: Nationwide
Relocation Paid?: NO

WHY IS THIS A GREAT OPPORTUNITY?

Financial Compliance Officer

Buffalo, NY organization has an immediate need for a Compliance Officer.

JOB DESCRIPTION

Responsibilities

Continual regulatory reviews of updated rules and regulations for the financial industry including but not limited to FINRA, SEC, FinCen, MSRB, OFAC

Manage IA Registrations/CRD Registrations

Reviewing marketing material from wholesalers and ensure they are up to date

Review and approve money movements, journals, maintenance items, transfers, etc.

Implement, if necessary, any regulatory changes, update policies and/or procedures as required

Act as point person for technology, website issues, etc.

Discuss flagged emails with advisors when needed

Cursory review of mail and make copies if needed

Document and review account paperwork for investments

Prepare FINRA notices and review FINRA reports monthly

Review accounts/trades of any discretionary accounts

Identification and testing of Risks for FINRA, OSJ, and SEC Certifications

Annually review and update Compliance Manual as applicable

QUALIFICATIONS

Requirements

Bachelors degree in Business, Finance or related field

4+ years experience, preferably in financial services environment

Advanced computer skills

Excellent organization skills and attention to detail


Privacy Policy

Terms of Use




How to Apply:


 
See all jobs in Buffalo NY
  Share this job
Share |

PJ Scout
Create Free Account

PJ Scout
 
    INDUSTRIES | COMMUNITIES | EMPLOYERS | JOB SEEKERS | CUSTOMER LOGIN
    CONTACT US | ABOUT NATIONJOB | ADVERTISERS | PRIVACY
    Electronic Recruitment since 1988. Copyright 1995-2018 NationJob, Inc. All rights reserved.