Compliance Officer
Compliance Officer
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Job Description
Job Title: Compliance Officer
Reports to: Chief Compliance Officer
Department: Compliance Department
Status: Exempt
Salary: $125000-$160000
Location: Boston or New York
This individual will act as a Compliance Officer for Leerink Partners an institutional brokerage and investment-banking firm specializing in the healthcare sector. The broker-dealer has a need for an experienced compliance officer with knowledge that includes FINRA registrations and licensing onboarding including pre-hire FINRA background review compliance training employee disclosure items continuing education branch inspections (including RSLs remote) and the FINRA Gateway and CRD system.
In addition the ideal candidate will become involved and have an opportunity to play an active role in other areas of Core compliance including regulatory inquiries marketing and research reviews surveillance and regulatory compliance efforts in the primary business units of Institutional Sales and Trading Research and Investment Banking.
Primary Duties and Responsibilities:
- Conduct Licensing and Registrations activities including regulatory reporting on (Form U4 U5 BR BD 4530)
- Conduct annual registration renewals for individuals states and foreign jurisdictions
- Coordinate annual review (or as needed) and update of FORM BRs and FORM BD
- Research securities rules and regulations specifically those that impact areas of responsibility including interaction with FINRA.
- Review and revise firm policies and procedures related to the areas of responsibility.
- Act as a resource and provide guidance education and training to business lines firm employees and representatives on current and changing industry rules regulations compliance matters firm policies and best practices for areas of responsibility.
- Assist in obtaining information responsive to regulatory inquiries and investigations as requested.
- Assist with technological upgrades to meet increasing regulatory demands.
- Participate in specific compliance related projects as may be assigned from time to time.
- This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.
Experience and Qualifications Required:
- BA or BS degree required
- Series 7 or equivalent preferred; Series 24 or other registrations a plus
- Three to seven years compliance experience
- Three years experience with FINRA CRD system
- Strong verbal and written communication skills communications including the ability to: Effectively and proactively communicate with persons of any professional level; and understand explain and deliver urgent information
- Ability and experience in identifying regulatory issues and management reporting
- Ability to prioritize and handle multiple projects simultaneously
- Able to take initiative and assume responsibility
- Strong work ethic and commitment to Firm and Department
Required Experience:
Unclear Seniority
Employment Type
Full-Time
