File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1169
Field Name:// 
JobTitle




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Job Title




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
Vice President, Compliance




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1169
Field Name:// 
JobCode




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Job Code




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1171
Field Value:
7020




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1169
Field Name:// 
JobCategoryName




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Job Category




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
Compliance/Risk/Legal




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Name:// 
JobTypeName




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Job Type




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
Permanent




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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JobLocationName




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Job Location




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
Boston - MA




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Name:// 
PublishOnDate




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1170
Field Label:
Date Posted




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
Feb 28 2023 12:00:00:000AM




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Name:// 
ExpireOnDate




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Expires On




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
Mar 31 2023 12:00:00:000AM




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1169
Field Name:// 
Responsibilities




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1170
Field Label:
Responsibilities




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1171
Field Value:
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




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1169
Field Name:// 
Qualifications




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Qualifications




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1171
Field Value:
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




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1169
Field Name:// 
RequiredYearsOfExperience




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Required Years of Experience




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1171
Field Value:
5




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1169
Field Name:// 
AdditionalInfo




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Additional Info




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1171
Field Value:
For more information contact Adam adam@fanning-boston.com


Fanning Personnel - Boston Jobs - Boston Investment Jobs, Boston Finance Jobs - Fanning Personnel
 

Vice President, Compliance
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

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

Required Years of Experience:
5
Additional Info:
For more information contact Adam adam@fanning-boston.com
Salary Range:
Name:

Email:

Phone #:

Message:

Submit Resume:



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