Current Openings at ALC Staffing Associates

Compliance Manager-Municipal Securities
Location:
US-NY-New York
Compensation:
$100K - $150K / Year
Minimum Education:
Bachelors
Job Type:
Full Time
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Compliance Manager-Municipal Securities
*Minimum 7 years compliance or municipal securities regulatory experience with a Municipal broker dealer or regulator.
*Solid understanding of MSRB / FINRA Rules.
*Experience with Municipal bonds and derivatives.
New York, NY
Salary: $100K-$150K + 15% Bonus
No Relocation Assistance Available

Job Description:
The Compliance Manager is responsible for engaging in activities to contribute to the independent compliance oversight of Front Line Unit ("FLU") and Control Function ("CF") performance and any related third party/vendor relationships in alignment with the Compliance Risk Management ("CRM") Program and the Global Compliance Enterprise Policy (GC Policy).
As a member of a FLU or CF compliance officer team, demonstrates and applies business acumen to promote a culture of compliance and the identification, escalation and timely mitigation of compliance risks.
This role exercises judgment and influence, and may constructively challenge FLU and CF leaders to support the CRM Program objectives, balancing business strategy with appropriate controls.
The municipal markets compliance manager will provide line of business compliance coverage to the Municipal Markets Group (banking, sales and trading).

Required Skills:
*Minimum 7 years compliance or municipal securities regulatory experience with a Municipal broker dealer or regulator.
*Solid understanding of MSRB / FINRA Rules.
*Experience with Municipal bonds and derivatives.
*Bachelorís degree or equivalent.
*Excellent verbal and written communication skills, requires interaction with senior management.
*Ability to multi-task in a fast paced environment.

Desired Skills:
Additional degrees, licenses, or experience a plus.
Experience in Financial Services or similarly regulated sector.

Arthur L Crume
ALC Staffing Associates
509 N Vermilion
Ste. 540
Danville, IL 61832
Fax: 888-315-4340
Phone: 217-636-3930

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or email this job to apply later

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