Coda Search│Staffing

Compliance Officer

Coda Search│Staffing New York City Metropolitan Area
Coda Search│Staffing

Compliance Officer

Coda Search│Staffing New York City Metropolitan Area
3 weeks ago 88 applicants

See who Coda Search│Staffing has hired for this role

Direct message the job poster from Coda Search│Staffing

Jennifer Abramo Click here to view Jennifer Abramo’s profile

Jennifer Abramo

Director at Coda Search | Full-Desk Finance Recruiter

Our client is a leading investment bank based in NYC. They're looking to add a talented Branch Inspector to their Growing Compliance Testing & Monitoring team.


RESPONSIBILITIES:

  • Conduct branch inspections in accordance with FINRA regulations
  • Own full lifecycle of branch inspections to final issuance
  • Create reports for senior leadership
  • Liaise with the Compliance Testing Team on special projects


QUALIFICATIONS:

  • 3+ years of experience
  • Bachelors degree or higher
  • Strong broker/dealer knowledge
  • Excellent written/oral communications

  • Seniority level

    Associate

  • Employment type

    Full-time

  • Job function

    Legal

  • Industries

    Banking and Investment Banking

Referrals increase your chances of interviewing at Coda Search│Staffing by 2x

See who you know

Get notified about new Compliance Officer jobs in New York City Metropolitan Area.

Sign in to create job alert

Similar jobs

People also viewed

Similar Searches

Explore collaborative articles

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

Explore More