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 (1094-259)

New York, NY

The Compliance Officer will make recommendations to the Chief Compliance
Officer regarding interpretation and implementation of policies, procedures,
and processes to address federal and state regulatory compliance issues. The
role aims to support and facilitate the firmís business to be conducted and
supervised in compliance with applicable laws, regulations and firm

Aid SVP, CCO 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
Review and analyze various reports and business practices against the
policies and procedures designed above
Provide guidance to the business as necessary on compliance, client
guideline interpretation and regulatory issues
Manage the identification, communication and tracking of regulatory changes
and analyze the impact of such changes
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
Assists with the development and implementation of relevant employee
Supervise, manage and oversee junior Compliance Officers and their

Undergraduate degree required. Graduate degree a plus
Grade Point Average (GPA) of 3.0 or above in a 4.0 scale
A minimum of 5 years of compliance, risk management, or auditing experience
from which knowledge in internal control and risk management was obtained.
Asset management industry experience, including mutual fund business
Experience reviewing advertising material for compliance with FINRA
FINRA Series 7 must be obtained within (six) 6 months of hire date
FINRA Series 24 preferred
Knowledge of Investment Company Act of 1940, Investment Advisers Act of
1940, SEC and FINRA Rules and Regulations
Experience with coding and operating compliance systems employed in
monitoring investment guidelines and restrictions (e.g., Charles River)
Skill in drafting/updating policies and procedures following analysis and
evaluation of business practices and controls
Schwab Compliance Technologies (SchwabCT), formerly Compliance11 experience

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