Monday, February 4, 2013

Compliance Officer - San Francisco

Title: Compliance Officer (546-009-411)
Location: San Francisco, CA
Compensation: Open

Summary: The Compliance Officer will report to the CCO however will work closely with both the Compliance and Legal Departments.  The primary focus will be to provide compliance oversight to investment and non-investment staff in the firms San Francisco office and assist the Compliance Department with ongoing regulatory requirements.

Responsibilities:
Maintain compliance presence and provide oversight and guidance to staff
Assist the Compliance Department with forensic testing and ongoing regulatory requirements
Assist with enforcing compliance policies
Escalate matters to the CCO and GC if necessary
Provide administrative support to the legal/compliance team

Requirements:
BA - required
5+ years of experience in the compliance or legal department of an investment adviser or broker-dealer
Strong organizational and research skills
Ability to work independently and excel in a high intensity environment
High standard of professionalism dealings with internal staff and any external partners/clients/regulatory agencies
Strong written and verbal communication skills
Outstanding attention to detail
Prior experience with Eze Castle or Charles River - preferred

If you are interested in this opening, please email your resume as an MS Word attachment to:
David Pieper
BCI - Financial Services Recruiting
312-460-8111 x113
david@brokerageconsultants.com

No comments: