SMBC Nikko Securities America, Inc. is a member of the Sumitomo Mitsui Financial Group, one of the world's largest global financial institutions. Based in New York City, we provide financial products and services to institutional clients, focusing on North and Latin America. The firm is an SEC registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB). We are seeking a motivated generalist Compliance Officer will support the broker dealer s Compliance team to provide advice to, and conduct oversight of, business activities to fulfill regulatory and internal requirements. Administer the system to approve employee trades. Understand and review system settings to ensure compliance with policy. Ensure approval of accounts, connectivity of data feeds from executing brokers, and disposition alerts. Administer the system to disclose and approve outside business activities and political contributions. Work with managers to document the rationale for approving/rejecting requests. Administer the chaperone program for foreign affiliates under SEC Rule 15a-6. Respond to requests for US visits and maintain records of foreign associated persons and major institutional investors. Work with foreign affiliates to achieve compliance. Cross train and serve as a backup for other Compliance Officers. Prepare and distribute compliance reports to management. General ad hoc projects that arise as the result of change in regulations or business activities. Work with sensitive and confidential information. Working knowledge of SEC and FINRA regulations. 3-5 years related work experience in broker dealer compliance. College degree. Series 7 would be helpful and would be able to be acquired on the job. High degree of attention to detail. Excellence in organizational skills, multitasking and delivering quality assignments on time. Strong interpersonal and oral / written communication skills. Proficiency in working with vendors to administer computer systems run in-house. Good computer skills in Word, Excel (pivot tables) and PowerPoint. Self-starter that is able to work independently and within a team environmen Associated topics: business, company, compliance, compliance department, compliance office, corporate, court, internal, llp, market
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