The PeterSan Group and PeterSan Legal Staffing hiring Broker Dealer Compliance in New York, New York, United States | LinkedIn (2024)

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Broker Dealer Compliance Save job Welcome back Rouschel Fraser Seniority level Employment type Job function Industries Similar jobs Freight Broker -- Remote | WFH Proprietary US Equities Trader/Active Freight Broker / Relationship Manager Freight Broker / Relationship Manager Freight Broker / Relationship Manager Freight Broker / Relationship Manager Freight Broker / Relationship Manager FX Trader Associate Freight Broker -- Remote | WFH Freight Broker / Relationship Manager Jet Broker Entry Level Energy Broker Freight Broker Freight Broker Sales Broker - Charter Aviation Real-Time Trader, West Sales Trader, Voluntary Freight Broker Agent - Experience Required Broker, Comm'l E&S, Transportation/FLEET, Remote/hybrid Junior Multi-Asset Trader Associate, Global Client Group (Broker Dealer) Freight Broker - Work from Home Real-Time Trader Freight Broker (Missouri OR Kansas) -- Remote | WFH Freight Broker - Work from Home Freight Broker - Work from Home Junior Trader People also viewed Freight Broker - Work from Home Broker - Marine Insurance Freight Broker Freight Broker Private Jet Charter Broker Private Jet Charter Broker REMOTE - Freight Broker - BROKERAGE EXPERIENCE REQUIRED Entry Level Energy Broker Trader Derivatives Trader Looking for a job? References

The PeterSan Group and PeterSan Legal Staffing hiring Broker Dealer Compliance in New York, New York, United States | LinkedIn (2)

Broker Dealer Compliance

The PeterSan Group and PeterSan Legal Staffing New York, NY

The PeterSan Group and PeterSan Legal Staffing New York, NY

3 weeks ago 99 applicants

The PeterSan Group and PeterSan Legal Staffing hiring Broker Dealer Compliance in New York, New York, United States | LinkedIn (4) The PeterSan Group and PeterSan Legal Staffing hiring Broker Dealer Compliance in New York, New York, United States | LinkedIn (5) The PeterSan Group and PeterSan Legal Staffing hiring Broker Dealer Compliance in New York, New York, United States | LinkedIn (6)

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The PeterSan Group and PeterSan Legal Staffing hiring Broker Dealer Compliance in New York, New York, United States | LinkedIn (7)

Rouschel Fraser

Administrative Assistant at The PeterSan Group and PeterSan Legal Staffing

We represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer subsidiary and SEC registered investment advisors. This individual will be responsible for ensuring compliance with all communications and advertising rules, working with the Distribution and Marketing teams and generally assisting the Legal and Compliance team with various compliance focused tasks, including updates to policies and procedures and monitoring and testing.

Qualifications

5-8 years of experience, preferably with both broker dealer and registered investment advisor experience

Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, including SEC 206(4)-1, and FINRA regulations

Experience with alternative investments and structured investments, as well as an understanding of compliance restrictions around private placements and registered products

JD is a plus

Series 24 must be obtained upon hire or shortly thereafter

#24-21

  • Seniority level

    Mid-Senior level

  • Employment type

    Full-time

  • Job function

    Legal

  • Industries

    Legal Services

The PeterSan Group and PeterSan Legal Staffing hiring Broker Dealer Compliance in New York, New York, United States | LinkedIn (8) The PeterSan Group and PeterSan Legal Staffing hiring Broker Dealer Compliance in New York, New York, United States | LinkedIn (9) The PeterSan Group and PeterSan Legal Staffing hiring Broker Dealer Compliance in New York, New York, United States | LinkedIn (10)

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