BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
  • Banking
  • Broker/Dealers
  • Commercial Lending
  • Consulting
  • Corporate Treasury
  • Family Offices
  • Financial Services Software Services
  • Insurance & Pension Funds
  • Municipal Finance
  • Private Equity
  • Real Estate Finance
  • Trading

Brokerage Consultants - Financial Recruiting

Tap our resources.

They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

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Job Type:

Compliance Officer (1094-14)

New York, NY

Compliance Officer (1094-14)
New York, NY
Compensation commensurate with experience

NYC-based Investment Management firm is seeking a highly motivated and
organized individual to serve as Compliance Officer (CO). The CO will report
to the Chief Compliance Officer and make recommendations to the company
regarding interpretation and implementation of policies, procedures and
processes to address federal and state regulatory compliance issues and set
them to the highest standards.

Aid SVP, Chief Compliance Officer and management on compliance and
supervisory matters
Help develop, draft and execute policies and procedures that are designed to
detect and prevent violations of the federal securities laws and mitigate
various types of risk, including compliance and operational risk
Conduct reviews to assess compliance and operational risks, develop
associated controls
Lead portions of period and annual risk testing processes
Review and analyze various reports and business practices against existing
policies and procedures, suggest changes to address changes to business
Provide guidance to the business as necessary on compliance, client
guideline interpretation and regulatory issues
Conduct portfolio reviews and create portfolio tests through the Charles
River trading system
Manage the identification, communication and tracking of regulatory changes
and analyze the impact of such changes for the firm
Identify potential areas of compliance vulnerability and risk and aids in
development and implementation of corrective action plans for resolution of
such vulnerabilities
Continuously review current policies, procedures and surveillance activities
to seek to modify and improve the compliance program
Administer and provide reporting on the Code of Ethics and personal trade
Review and file marketing materials
Work on regulatory related inquiries and examinations
Assist with the development and implementation of relevant employee training
Will have thorough knowledge of the firmís products, trading strategies and
market characteristics

Undergraduate degree or an equivalent combination of training and
experience. Graduate degrees preferred
A minimum of five years of compliance, risk management, or auditing
experience from which knowledge in internal control and risk management was
Asset management industry experience, including mutual fund business
Experience with assessing risks at an investment management firm, developing
controls to address risks, and conducting testing of the effectiveness of
the controls
Experience working with the Charles River trade system
Experience reviewing advertising material for compliance with FINRA
FINRA Series 7 and Series 24 and preferred
Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940
and FINRA Rules and Regulations
Knowledge of SEC and FINRA regulations required
Proficiency in Microsoft Office products, in particular Excel
Excellent communication skills, both written and oral
Experienced with coding and operating compliance systems employed in
monitoring investment guidelines and restrictions (e.g., Charles River)

Compliance and Legal