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Job Details

Compliance Officer

Job Summary

  • Company: BCI
  • Location: Springfield, Illinois (Springfield)
  • Compensation: Open

Job Description

Compliance Officer

Springfield

Duration: Open-ended
Start date: ASAP
Location: Springfield, Massachusetts Area (Possibility to work remotely for ideal candidate)
Pay rate: Open
Hours: Flexible; Part-time, 10-20 hours per week

Our client is a full service securities brokerage firmóregistered as a broker/dealer with the Securities and Exchange Commission and a member of the National Association of Securities Dealers, the Securities Investor Protection Corporation and the Municipal Securities Rulemaking Board. The company trades securities as an agent and principal on exchanges such as the NYSE, AMEX and NASDAQ and maintains selling agreements with the nation's largest mutual fund families and insurance companies.

Duties:
Ensure practices are in place to maintain compliance with industry regulations, specifically Anti-Money Laundering (AML) and Bank Secrecy Act (BSA) regulations.

Experience:
Previous AML/BSA compliance experience required
NASD Series 24 licensed or Series 7 pursuing Series 24 required
Familiarity with Pershing strongly preferred

Candidates interested in applying to this role should e-mail 96t234@brokeragejobs.com.

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