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Compliance Attorney
Refer job# PPFY150719
Compliance Attorney Candidate will be responsible for identifying and mitigating potential AML risks and will review securities legislation, ensure proper implementation of procedures in accordance with applicable securities laws and regulations, independently perform research on various compliance and legal issues, conduct testing of the firm's compliance with its policies and procedures, and assist with securities regulatory inquiries and examinations.

Qualifications: Bachelor's Degree and/or JD Degree. Knowledge of OFAC, USA PATRIOT Act, BSA, and KYC requirements. Excellent analytical, research, and writing skills. Excellent interpersonal relationship skills. Excellent verbal and written communication skills. Excellent analytical, research, and writing skills. Ability to function independently as well as well as cooperatively. Ability to perform assigned tasks within the specified time frames and meet quality expectations. Ability to conduct research and provide management with proposed solutions. Ability to manage multiple priorities and quickly and efficiently adapt to changes in procedures or policies. Thorough and detail-oriented. Excellent PowerPoint, Word, and Excel skills. FINRA SIE, Series 7, 24 and 65/66 securities licenses (or obtained within 150 days of hire). DESIRED: Either law degree or 2-3 years of professional experience in the securities industry. Experience with Broker Dealer and/or Registered Investment Adviser.
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