Compliance Officer
📋 Role Overview & Responsibilities
- **Please note that candidates must have a Compliance background related to Markets / Trading with the ability to create and write out Supervisory procedures in the space.***
Client: Banking
Location: Charlotte, NC or New York, NY (Must be able to sit onsite 3 days per week.)
Length: 9+ month Assignment
Pay: $55 - $60/hour W2 (No Corp-to-Corp)
Skills
Previous experience in compliance within the Markets/Trading industry, preferably with knowledge of regulations governing trading activities.Exceptional writing skills to craft comprehensive supervisory procedures.Background in regulatory compliance with a strong understanding of compliance frameworks.Familiarity with corporate or surveillance backgrounds, preferably from investment management or similar institutions.SharePoint or OpenText would be a huge plus.
Day-to-Day
Develop and Write supervisory procedures for the Market Conduct Program.Ensure procedures align with regulatory requirements and industry best practices.Conduct research to stay updated on market regulations and compliance standards.Assist in building out the surveillance officer model and implementing effective monitoring strategies.Review transaction records and conduct audits to detect potential violations of market regulations.Investigate suspicious activities and report findings to regulatory authorities as necessary.Maintain and update supervisor procedure documents to reflect changes in regulations or internal processes.Communicate effectively with stakeholders to ensure understanding and compliance with procedures.
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This position is located in New York, NY with potential relocation and sponsorship assistance depending on candidate qualifications.
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