Compliance Customer Service Specialist III - Melville NY

Company: Apex Systems, Inc.
Location: Melville, NY
Posted On: 11/04/2009

<STRONG>Job Description<BR></STRONG>Years of Experience <BR>2 or more years of Full time experience in Back Office Investment Industry, compliance, audit, legal, finance or risk management <P>Education <BR>Bachelors degree from an accredited college or university or equivalent experience required <BR><BR>Licensing<BR>FINRA Series 7 <BR>FINRA Series 24 a plus </P> <P>Certification <BR>Professional certification or in progress <BR>Core Professional Knowledge - working knowledge of the following frameworks:<BR>Compliance Risk Policy, Standards and Procedures<BR>Risk Management and Control Framework <BR>Compliance Management Program Framework, specifically as it relates to: Governance, Training, Risk Assessment, Corrective Action, Decision Making, Monitoring and Reporting. <BR>Compliance Management Program and Compliance Decision Making Governance (CDMG)</P> <P>Skills &amp; Notes<BR>Contractor will be signing off and placing trades<BR>Cashiering and account maintenance<BR>Current team has ten (10) people on it<BR>Position is on the operational side of compliance</P>Apex Systems, Inc is an Equal Opportunity Employer and encourages minority and female applicants to apply.df-lj More...

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