Associate Director - Broker Dealer Compliance - Tandym

A financial services firm in New York City is currently seeking an experienced Compliance Consultant to join their growing team as their new Associate Director - Broker Dealer Compliance.

Responsibilities:

The Associate Director - Broker Dealer Compliance will:

• Work closely on compliance matters with client personnel
• Assist broker-dealer clients through regulatory examinations and respond to regulatory inquiries
• Advise clients regarding compliant business practices (sales, trading, banking, research, etc.)
• Write, edit, and maintain procedures manuals including WSPs, AML Programs, Training Plans, etc.
• Conduct Firm reviews and mock examinations
• Deliver annual compliance meetings
• Serve as registered Chief Compliance Officer for the firm's broker-dealer (BD) clients in limited circumstances
• Create BD and client relationships via networking with our clients and contacts
• Conduct branch office inspections
• Perform other duties, as needed

Qualifications

• 5+ years relevant experience in Broker Dealer Regulatory Compliance
• Bachelor's Degree
• Detailed knowledge of FINRA rules and Broker Dealer Compliance
• Series 7 & 24 licensed required; or must be willing and able to obtain FINRA Series 7 & 24 registrations with FINRA within 1 year of hire
• Strong understanding of the Investment Banking and Institutional Brokerage business
• Solid analytical and research skills
• Great interpersonal skills
• Excellent communication skills (written and verbal)
• Strong attention to detail
• Highly organized

Desired Skills:

• Knowledge of the Investment Advisors Act of 1940