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New York, NY Contract Posted: Monday, 19 June 2017
Software Guidance & Assistance, Inc., (SGA), is searching for a Compliance Officer for a contract assignment with one of our premier financial services clients in New York, NY.

  • Management of Regulatory Exams, Reviews and Ad-Hoc
  • Assist with management of regulatory exams, reviews and questionnaires initiated by the SEC, FINRA, CFTC, CME Group, NFA and other SROs.
  • Obtain, review and organize documents to be produced in connection with regulatory exams or reviews;
  • Conduct internal prep meetings in advance of meetings with regulators;
  • Track and respond to regulators' requests for information;
  • Work with colleagues to draft formal responses to exam findings letters;
  • Assist with ensuring exam findings are entered into MICOS on a timely basis;
  • Assist with ad-hoc regulatory questions, including assistance with Continuous Monitoring meetings;
  • Work on various projects with US Head of Exams, as needed.

Required Skills:

  • 5-10 years of relevant Compliance/Regulatory experience, or equivalent;
  • Bachelor's Degree required
  • Ability to work independently and interact with all levels of management and regulators in a professional manner;
  • Ability to handle confidential information with discretion;
  • Excellent written and oral communication skills;
  • Proficiency with MS Office and familiarity with SharePoint;
  • Extremely detail-oriented with excellent organizational and interpersonal skills
  • 5-15 (big range) if exam experience can be less.
Preferred Skills:
  • FCM and Swap Dealer Compliance experience helpful
  • Previous Regulatory Exam experience
  • MBA or prior experience at a Regulator preferred
SGA is a Certified Women's Business Enterprise (WBE) celebrating over thirty years of service to our national client base for both permanent placement and consulting opportunities. For consulting positions, we offer a variety of benefit options including but not limited to health & dental insurance, paid vacation, timely payment via direct deposit. SGA is an EEO employer. We encourage Veterans to apply.

New York, NY, United States of America
george wellington
6/19/2017 3:07:41 PM

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