A financial services organization in Manhattan is actively seeking an experienced and diligent professional to join their staff as their new Associate Director of Regulatory Compliance. In this role, the Associate Director of Regulatory Compliance will be responsible for general compliance duties related to execution of the Firm's compliance program, assisting with the administration of the firm's employee personal trading policy, and reviewing electronic messages.

Responsibilities

The Associate Director of Regulatory Compliance will:

• Assist with the annual compliance risk assessment and help identify potential conflicts and risk areas within business units
• Complete reviews
• Administer the oversight of the firm's compliance with CFTC regulations and NFA rules for CPO/CTA
• Maintain and ensure firm compliance with the Written Supervisory Procedures
• Review and maintain registered representatives and firm files (e.g., U4, U5, Form BR, etc.)
• Manage the AML/KYC program
• Assist with administration of the firm's personal trading policy
• Review electronic communications

Qualifications

• Bachelor's degree
• 5-7 years of relevant compliance experience in the financial services industry at an Investment Advisor, Broker-Dealer, and/or related firm
• Excellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint
• Excellent communication skills (effective in oral, written and presentation settings)
• Ability to multitask
• Strong interpersonal skills
• Superior organizational skills

Desired skills

• Experience with AdMaster, MCO and Global Relay, Eze OMS or other order management system knowledge