CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
My client is a large financial services company looking for a Branch Compliance Risk Officer to head the compliance efforts for an important branch of the broker-dealer business in Manhattan. The branch has over 100 Financial Advisors and will require an experienced compliance professional to handle the demands of this critical location.
Ideally, a candidate will be able to supervise the branch offices and any off-site employees for the firm. This individual will have to focus on business ethics and regulatory practices to ensure proper procedure is followed. This individual will be responsible for annual FA reviews and preparation and response to any audits. The position will liaise with the legal department to review any client complaints and will be responsible for managing and determining any risk for client contacts. In addition, daily surveillance and review of trading activity is expected. The role itself will report to branch management and corporate compliance management within the head office.
Finally, as a requirement, the ideal candidate will have earned and maintained their Series 7, 8 (or 9,10), 63, and 65 (or 66). The Series 3 license is preferred as well.
KEYWORDS: COMPLIANCE, BRANCH MANAGER, RISK, BROKER DEALER, SERIES 3,7, 8, 9, 10, 63, 65, 66, MBA, AUDIT, REGULATORY, MANAGEMENT, MANHATTAN, NEW YORK, LEGAL, SURVEILLANCE, FINRA
Branch Compliance Risk Officer, Large Broker Dealer, New York, NY