A financial services firm in New York City is currently seeking an experienced Compliance Consultant to join their growing team as their new Associate Director - Broker Dealer Compliance . Responsibilities: Work closely on compliance matters with client personnel Assist broker-dealer clients through regulatory examinations and respond to regulatory inquiries Write, edit, and maintain procedures manuals including WSPs, AML Programs, Training Plans, etc. Conduct Firm reviews and mock examinations Deliver annual compliance meetings Serve as registered Chief Compliance Officer for the firm's broker-dealer (BD) clients in limited circumstances Create BD and client relationships via networking with our clients and contacts Conduct branch office inspections Perform other duties, as needed Qualifications: 5+ years relevant experience in Broker Dealer Regulatory Compliance Bachelor's Degree Detailed knowledge of FINRA rules and Broker Dealer Compliance Series 7 & 24 licensed required; or must be willing and able to obtain FINRA Series 7 & 24 registrations with FINRA within 1 year of hire Strong understanding of the Investment Banking and Institutional Brokerage business Solid analytical and research skills Great interpersonal skills Excellent communication skills (written and verbal) Strong attention to detail Highly organized Desired Skills: Knowledge of the Investment Advisors Act of #J-18808-Ljbffr The Execu|Search Group
Overview Cozymeal is looking for Private Chefs in search of private chef jobs in Austin, TX. Austins artsy vibe offers a creative twist on food to locals and visitors alike. Cozymeal, a leader in connecting hungry clientele to gourmet dining experiences, can help you fill...
...Job Description Do you love developing and nurturing great relationships? As an N2S Customer Success Specialist, you will be responsible for managing and growing our Fortune 500 accounts, understanding their staffing requirements, and ensuring the successful placement...
...Job Description: GardaWorld Security Services is Now Hiring a Concierge Security Officer - Driver! Ready to suit up as a Security Guard - Driver in a Concierge post? What matters most in a role like this is your ability to build meaningful connections. Tell us...
Private Executive Chef - Miami Residence Location: Coconut Grove, MiamiPosition: Full-Time | On-SiteSchedule: Weekdays, full-time. Flexible hours structured around: Lunch around 1:00 PM, Childrens snacks around 3:00 PM and Dinner around 6:00 PM.Compensation: Based...
...Do you work well independently and from home, with a strong attention to detail? We are looking for someone... ...from approximately January 26 through June 5. You would be responsible... ...be able to work 8 a.m. to 12 p.m. Monday through Friday, 20 hours/week. Pay is $16/hour....