Compliance Team Leader - (US-NC-Charlotte)

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From Jeff Altman: The Big Game Hunter

Compliance Team Leader - (US-NC-Charlotte)

Compensation: $100K - $127K
Min Education: Bachelors
Job Type: Full Time
Jobcode: 173285WJA

Experience Required : 5 - 10 years
Degree Required : 4 Year Degree
Travel Required : Upto 25 %
PAID RELOCATION
Responsibilities include providing primary compliance coverage for the Structured Asset Finance and the Residential Mortgage and Consumer desks in the Structured Products division. Products will include securitizations, structured products underwritings, ABS and MBS trading, leasing, loan origination, sale lease back and 1031 like kind exchanges. Knowledge and understanding of securitizations, trading and syndicate desk rules and regulations would be beneficial. Ability to make and maintain relationships with business units and other support disciplines is a key factor to the success of compliance. Specific responsibilities include: - Perform research on compliance issues; develop policies, procedures, communications and guidance to business and support personnel.- Provide interpretive advice (emphasizing creative problem solving in a rapidly changing environment) on regulatory matters, policies and internal controls; - Create and conduct surveillance reviews to ensure compliance with AML and Regulatory (NASD, NYSE, OCC, FRB, etc.) requirements.- Update and monitor surveillance and tracking systems- Liaise with front office personnel and support units to ensure integrity of control infrastructure- Manage Internal Audits and External Regulatory

Candidate Must Have :
* Bachelor's degree required. Advanced degree a plus.- 5 + years experience in a broker/dealer, capital markets environment, either in a compliance/risk environment or specific expertise with securitization.
* Series 7 and 24 licenses or ability to obtain within 90 days.-
* Project management experience a plus. - Flexibility to undertake new functions / tasks as businesses evolve.
* Excellent analytical, communications and interpersonal skills, with ability to both handle high-pressure trading floor environment and work with senior management and support staff areas.-
* Motivated, self starter- Excellent presentation and writing skills- Ability to handle multiple projects and work independently with minimal supervision. Mon - Fri, 8:30am - 5:30pm

Very little travel involved in the role.

Email resume in Word to jeffaltman@cisny.com. Please include the job code for the position with your resume.

NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES.

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Jeff Altman, The Big Game Hunter
Concepts In Staffing
9 East 37 Street
New York, NY 10016