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.

Job Order:

Job Type:

Compliance Officer (38-174)

New Jersey

New Jersey-based global investment firm managing $50 billion in global
public equities for a diverse US and foreign institutional clientele, is
seeking a capable and experienced individual to fill the role of Compliance

Responsible for the execution and continuous improvement of the Firmís
investment advisory compliance program
Maintain and enhance compliance policies and procedures
Perform periodic testing
Conduct compliance training
Approve marketing materials and business proposals
Prepare regulatory filings
Enforce the Firmís Code of Ethics
Stay apprised of relevant developments in regulation and industry practices
Recommend improvements in and additions to existing policies and procedures
Participate in design and lead in implementation
Operate independently, under the supervision of the Chief Compliance Officer
and the General Counsel
Interact with personnel throughout the Firm, including research, portfolio
management, operations, trading, publishing, and marketing communications
Participate in compliance-related committees, interacting regularly with
senior management

Five or more years of relevant experience
Strong command of SEC rules applicable to Investment Advisers
Familiarity with SEC and FINRA rules applicable to mutual funds
Hands-on experience with portfolio accounting and trade order management
systems and Bloomberg
Bachelorís Degree required
FINRA Series 7
Strong problem-solving, communications and organizational skills

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