Location: Albany, NY
Our client is currently seeking a Series 7 Licensed Assistant Compliance Officer to join their team. They will be responsible for providing assistance to the Compliance Officer with their day-to-day tasks. This is a full-time, permanent position.
- Staying informed of changing compliance laws and regulations and informing compliance staff and management of these changes.
- Assisting with compliance testing and monitoring.
- Monitoring the status of corrective actions being taken.
- Providing compliance technical assistance, training, and analysis as necessary.
- All applicants MUST have their FINRA Series 7 License.
- FINRA 63 or 66 Licenses are required and Series 24 is preferred.
- Prior brokerage industry experience is required.
- Compliance experience is required.
- Excellent written communication skills (post-secondary).
- Must be well organized and attentive to detail.
- Travel will be required (10% – 15%).
If you are qualified for this position, please apply using our secure online form.