Our client, a boutique investment bank, is seeking a motivated compliance officer to join their team in a part-time capacity. This new hire can be located anywhere in the US and will be responsible for the full scope of compliance responsibilities for this firm.
Key Points
- Firm is stable, successful, and has a track record of 20+ years
- Position offers a ton of flexibility in both hours and location (expectation is 15-20 hours/week)
- Individual will be able to revamp and augment processes as they deem necessary
Responsibilities
- Update and maintain the restricted list
- Perform OFAC checks on clients
- Review sales literature weekly
- Review investor lists for deals
- Perform compliance trainings for staff
- Respond to any regulatory inquiries and requests
- Review licensing for FINRA and file U5s
Qualifications
- 8+ years of compliance experience working in a FINRA regulated entity
- Series 7 & 24 licenses required
- Willingness to travel once/quarter to one of the firm’s main offices
Compensation: $150-200K base; 15-25% bonus