Compliance Officer

Job#: 2025480

Job Description:

Industry: Banking

Position: Compliance Officer

Duration: 9 Month Contract w/ possible conversion

Location: Charlotte, NC or New York, NY - 3x/week on-site

Details: W2, Benefits, 401k Options

Top Requirements

• 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
• Proficiency in Microsoft Word.

Plusses

• SharePoint or OpenText experience

Job Description

• 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.

EEO Employer

Apex Systems is an equal opportunity employer. We do not discriminate or allow discrimination on the basis of race, color, religion, creed, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), age, sexual orientation, gender identity, national origin, ancestry, citizenship, genetic information, registered domestic partner status, marital status, disability, status as a crime victim, protected veteran status, political affiliation, union membership, or any other characteristic protected by law. Apex will consider qualified applicants with criminal histories in a manner consistent with the requirements of applicable law. If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation in using our website for a search or application, please contact our Employee Services Department at [email protected] or 844-463-6178.