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Description:

Role Mandate: The Compliance Officer assists Compliance management in the effective implementation, maintenance, and administration of the Global Markets Compliance Program. The role provides compliance advisory services, coordinates and performs ongoing risk assessments, and conducts monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program. Role Responsibilities Include (but are not limited to): • Initiate and monitor testing related to the equities trading business • Monitor controls that cover trade reporting, execution, and electronic communication • Assist in policy creation and streamlining of existing procedures • Branch inspection reviews covering the various locations the business runs out of • Knowledge of U.S. securities rules and regulations; particularly SEC and FINRA. • Coordinate and perform ongoing risk assessments and compliance reviews to ensure compliance policies and risk controls are operating appropriately. Create analyses of risk assessments for LOB business group(s). Identify and analyze factors which may affect risk mitigation and compliance with applicable regulatory requirements. • Elevate high profile or high risk cases to the Compliance and LOB management to ensure visibility and prompt resolution. • Perform ongoing validation of monitoring strategies to ensure appropriate governance and control. Identify observations of trends and recommendations to optimize data.

Skills:

Compliance, FINRA, SEC

Top Skills Details:

Compliance,FINRA,SEC

Additional Skills & Qualifications:

Nice to Have Skills: • Previous compliance experience at a major Financial Institution • Previous experience with Smarts (surveillance software) • Knowledge of U.S. securities rules and regulations; particularly SEC and FINRA.SIE EXAM

Experience Level:

Intermediate Level

About TEKsystems:

We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.