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 36 applicants

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Jennifer Abramo

Jennifer Abramo

Director at Coda Search | 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

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