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Vice President, Compliance
Location:
Boston, MA
Description:
Anti-Money Laundering (Know Your Customer) - Account opening/screening process Suspicious Activity Review (SAR) filings Participate in Fraud Detection Committee Mentor junior team members Client Due Diligence Questionnaires 15a-6 account opening and monitoring Employee Continuing Education Employee Trade Approval Marketing Review Maintaining internal Watch and Restricted lists Reviewing research publications with respect to the internal Watch list to ensure compliance with regulatory obligations Qualifications : 5+ years of broker/dealer compliance, broker/dealer internal audit, FINRA or SEC experience Ability to multi-task and prioritize Ability to be highly analytical when collecting, analyzing, and synthesizing information across various projects and reviews Anti-Money Laundering/Know Your Customer experience required BA or BS degree required Series 7 required Must have ability to obtain Series 24 Required Years of Experience : 5 Additional Info : For more information contact Adam XXXX@fanning-boston.com #J-18808-Ljbffr
Company:
Fanning Personnel
Posted:
November 12 on TopUSAJobs
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More About this Listing: Vice President, Compliance
Vice President, Compliance is a Executive VP Job at Fanning Personnel located in Boston MA. Find other listings like Vice President, Compliance by searching Oodle for Executive VP Jobs.
Vice President, Compliance is a Executive VP Job at Fanning Personnel located in Boston MA. Find other listings like Vice President, Compliance by searching Oodle for Executive VP Jobs.