Compliance Specialist

Currently, there is an opening for a Compliance Specialist who will report to the Chief Compliance Officer (CCO). The Compliance Specialist will be responsible for monitoring activities related to a limited purpose broker dealer (securities) and introducing broker (futures), and also an affiliated investment adviser and commodity pool operator for a hedge fund complex. This position will work closely with the firm’s Sales, Operations, Marketing and IT Departments and, working with the CCO, will interact with members of senior management.

Essential Functions:

• Assist the CCO with the design, implementation and maintenance of written supervisory procedures and compliance policy manuals
• Oversee and monitor registered representatives in relation to the distribution of hedge funds, commodity pools and commodity futures products
• Conduct supervisory control reviews and tests for the broker-dealer and conduct compliance program reviews for affiliated investment adviser and commodity pool operator
• Review e-mail and other types of correspondence for compliance with applicable SEC, FINRA, CFTC, and NFA regulatory requirements
• Manage and monitor registration status with SEC, CFTC, FINRA, NFA and state regulators, and prepare and file required reports including Forms B-D, 7-R & ADV, but excluding FINOP reports
• Manage and monitor required series licenses and registrations and continuing education program requirements for all firm personnel
• Review and monitor personal securities trading
• Research and respond to regulatory inquiries and requests for information
• Review account documents for compliance with applicable AML and KYC regulations (e.g., Bank Secrecy Act, PATRIOT Act, etc.)
• Ability to work in a team environment

Qualifications:

• The position of Compliance Specialist is a highly visible role and the successful candidate must be able to communicate clearly and effectively across all levels of management
• 4-year college degree or equivalent work experience
• 3-5+ years of securities compliance experience, with significant working knowledge of SEC and FINRA regulatory requirements and compliance systems (CRD) required
• Experience with CFTC and NFA regulatory requirements and alternative investments is a plus, but not required
• Series 7 and 24 licenses are required; Series 3 is a plus
• Proficiency in MS Office is required
• Knowledge of Goldmine, Crystal Reports and/or SQL is a plus, but not required

Please submit your MS Word resume to be considered for this position.