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February 22 2018  SpanishSpanish

    Detalles de Empleo

Empleo: COMPLIANCE OFFICER:Just4banks Consultancy Ltd.

La descripción del trabajo.:

Oferta de trabajo:

COMPLIANCE OFFICER

Job ID : 160475792
Job Views : 4
Location: Marseille, 57, France
Job Category:
Employment Type:
Salary:

Job Description

 
COMPLIANCE OFFICER SALARY ? 140 000 ? 160 000 JOB DESCRIPTION The Regional Compliance Officer will conduct and evaluate branch audits, while facilitating collaborative alliances with Senior Sales Managers, Area Sales Managers, Program Development Managers and Regional Supervisory Principals. As part of Securities Compliance, the Regional Compliance Officer will assist in the development and implementation of the Broker-Dealer and Investment Advisor regulatory compliance program by seeking process improvements, assessing compliance functions, procedures and approaches, including the results of monitoring and testing functions, and enhance existing controls in coordination with the line of business. In addition, the Regional Compliance Officer will assist in development plans, make recommendations for the implementation of new regulatory requirements and industry best practices. This position will function in an independent environment and will report to a Senior Regional Compliance Officer. RESPONSIBILITIES - Conduct annual branch office audits - Work with the Compliance Department to review and approve communications with the public that are not considered correspondence - Assist the Compliance Department to ensure the implementation of an effective compliance program - Actively promote a solution-oriented environment - Maintain a cutting edge awareness of company goals, regulatory and legislative developments, and industry trends - Maintain examiner relationships with the SEC and FINRA, and assist with regulatory examinations and internal audits - Handle various projects as needed QUALIFICATIONS - Bachelor's Degree in Business Administration, Finance or related field, or equivalent work experience - Minimum 5 years of sales supervision, representative supervision, or compliance experience within the brokerage industry and/or investment advisory industry - Demonstrate the ability to simplify and communicate complex financial concepts - Strong knowledge of the securities business, investment products, and securities rules and laws - Work requires excellent organizational skills and the ability to multi-task and to be flexible - Excellent time management skills - Ability to negotiate and collaborate with others, initiate action, adapt to change, make difficult decisions, and accept challenging assignments

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Categorí­a del Empleo: Otras [ Ver todos Otras  ]
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Tipo de Empleo:
Sueldo: No especificado
Titulación: Sin especificar
Experiencia: No especificado
Localización del Empleo: otro
Tipo de empresa Empleador
Día de envío: 2018/02/14 / Viewed 4 times
Información de Contacto
Empresa: Just4banks Consultancy Ltd.


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