Job Title:
Vice President, Compliance
Job Code:
7020
Job Category:
Compliance/Risk/Legal
Job Type:
Permanent
Job Location:
Boston - MA
Date Posted:
Feb 28 2023
Expires On:
Mar 31 2023
Responsibilities:
Anti-Money Laundering (Know Your Customer) - Account opening/screening process
Suspicious Activity Review (SAR) filings
Participate in Fraud Detection Committee
Mentor junior team members
Client Due Diligence Questionnaires
15a-6 account opening and monitoring
Employee Continuing Education
Employee Trade Approval
Marketing Review
Maintaining internal Watch and Restricted lists
Reviewing research publications with respect to the internal Watch list to ensure compliance with regulatory obligations
Suspicious Activity Review (SAR) filings
Participate in Fraud Detection Committee
Mentor junior team members
Client Due Diligence Questionnaires
15a-6 account opening and monitoring
Employee Continuing Education
Employee Trade Approval
Marketing Review
Maintaining internal Watch and Restricted lists
Reviewing research publications with respect to the internal Watch list to ensure compliance with regulatory obligations
Qualifications:
5+ years of broker/dealer compliance, broker/dealer internal audit, FINRA or SEC experience
Ability to multi-task and prioritize
Ability to be highly analytical when collecting, analyzing, and synthesizing information across various projects and reviews
Anti-Money Laundering/Know Your Customer experience required
BA or BS degree required
Series 7 required
Must have ability to obtain Series 24
Ability to multi-task and prioritize
Ability to be highly analytical when collecting, analyzing, and synthesizing information across various projects and reviews
Anti-Money Laundering/Know Your Customer experience required
BA or BS degree required
Series 7 required
Must have ability to obtain Series 24
Required Years of Experience:
5
Additional Info:
For more information contact Adam adam@fanning-boston.com
Salary Range: