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security aml finra broker-dealer surveillance📋 Description
- Lead advisory for broker-dealer compliance program
- Oversee the FCM compliance program and risk management
- Manage daily customer segregation computations and filings
- Supervise trade and market surveillance for securities/derivatives
- Primary contact for FINRA, NFA, SEC, and CFTC exams
- Maintain AML program for broker-dealer and FCM
🎯 Requirements
- BA/BS degree and US work authorization
- Active FINRA 7, 63, 24; NFA 3 within 120 days
- 10+ years securities/commodities regulatory compliance experience
- Broker-dealer/FCM operations expertise
- Strong FINRA/SEC/CFTC/NFA compliance knowledge
- Tech-forward environment; strong writing skills
🎁 Benefits
- Comprehensive health plans
- 401K with company matching
- Paid Parental Leave
- Flexible time off
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