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Company: N/A

Location: New York, NY

Pay: N/A

Contact Information

Name: Steve Lipof
Phone: n/a
Fax: n/a

Job Description

RCRS, the compliance and regulatory consulting subsidiary of The Response Companies, is actively seeking top-performing compliance consultants for its rapidly growing practice. If you’re a compliance professional ready to take your career to the next level, we may have some exciting per diem opportunities

We compete directly with the largest consulting firms, providing compliance advice and analysis directly to our clients, but our business model is entirely different; as a result, you can be more challenged and potentially more highly compensated while on assignment.

We have both active and pipeline client assignments requiring the following expertise:

Anti Money Laundering (AML), OCC
Know Your Client (KYC) and Patriot Act
Branch Audit
Institutional business lines (sales/trading, prime broker, custody, cash management)
Sales Practice and Advertising review

Research/Chinese Wall
Trade Surveillance (equity, fixed income, futures, derivatives), either desk-based or off-floor
Equity and fixed income syndicate
Insurance owned-broker/dealer
Bank-owned broker/dealers
Rule 3012/Rule 3013, including drafting of WSPs
Due diligence, investment banking and corporate finance
Either 1940 act (funds, traditional and alternative asset managers/hedge funds)
1933 and 1934 acts
Regulatory and membership filings (ADV, etc)
15c3-1, 15c3-3, 17a-3
International, including 15a-6
SRO and regulatory liaison (NYSE, NASD, SEC, FRB, OCC)
Registration/CRD/licensing

Additionally, any of the following licenses, whether active or lapsed, are useful:

Series 3 - NFA
Series 4 - ROP
Series 6 - variable annuities, mutual funds
Series 7 - general
Series 8 or Series 9 & 10 - sales supervision
Series 14 - NYSE compliance
Series 16 - supervisory analyst
Series 23/24 - principal
Series 27 - FinOp
Series 53 - municipal principal
Series 55 - equity trader
Requirements

Requirements:

In order to qualify, you must have 10 or more years of direct compliance or regulatory experience in one or more of the areas listed above, an exceptionally clean CRD, a client-centric, client-friendly attitude, exceptional analytical skills, superior command of at least one of the disciplines listed above, a professional appearance and very strong written and verbal acuity for client-facing presentations and correspondence that oftentimes reaches the “C” level of some of the world’s largest and most prestigious financial institutions, asset managers, hedge funds and law firms. While not required, a JD or significant securities regulatory experience is highly desired. Familiarity with MS Excel, Access and Project is a plus.

If this sounds like you and you’re ready to start adding a true value instead of being one of the herd, send your MS Word-formatted resume to careers@RCRSco.com in complete confidence for consideration.
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