FIRST DERIVATIVES US, INC. – $57,970.00/Year

The required experience in the job offered or related occupation must include at least two year of experience supporting, and maintaining quality compliance for fortune 500 clients in the Capital Markets Industry. Reviewing, editing, and publishing Policies Procedures in accordance with SEC SBS Rule requirements. Identifying supervisory gaps in systems and assisting technology teams in their system update process. Constructing a standard set of procedures to drive the basis of the entire AMLKYC process. Establishing guidelines to designate, tag, and monitor SEC SBSD Associated Persons and Supervisors. Delegating, tracking, mentoring, and training junior members. Utilizing speciality regulatory knowledge of Legal, Compliance, Regulation, AntiMoney Laundering, Know Your Customer, US PATRIOT Act, US Bank Secrecy Act, and Dodd Frank.br br Employer will accept any suitable combination of education, training or experience