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Job Title: Compliance Specialist
Job Location: NJ: Jersey City
Pay Rate: Open
Job Length: full time
Start Date: 2008-08-27

Company Name: Pershing
Contact: Recruiter
Phone: email only please
Fax: email only please

Description: Compliance Specialist

Job ID: 173 Description: The candidate will be responsible for performing AML surveillance and customer identification for designated customers. This will entail researching systems, reports and records as well as interactions with numerous departments within the firm and with introducing broker dealers. This will require the ability to analyze new account documentation, respond to requests for information and regulatory inquiries, while also providing research supporting those requests. This role will also include the review of various surveillance reports including OFAC. This role will include some investigative research utilizing Perhings systems and publicly available news sources. This requires detailed analysis, solid knowledge of the firms books and records, as well as an understanding of securities trading and operations to perform the analysis and respond accordingly. This position requires excellent organizational, written and verbal communication skills.

EDUCATION, EXPERIENCE, SKILLS DESIRED (MUST BE JOB RELATED): * Associates or undergraduate degree preferred, but not required if the associate has past experience * Strong understanding of securities trading or operations or both * Knowledge of Pershing (or other large securities firm) and its trading or operational areas, as well as its books and records is preferred * Excellent verbal and written communication skills * Ability to multi-task with minimal oversight * Ability to manage through confrontational issues successfully and tactfully * Good management skills * Good interpersonal skills * Computer proficiency * Good analytical skills * Good judgment * Strong work ethic * Ability to work independently and in a team environment * Good organizational skills * Anti-money laundering, SAR, fraud, CIP and OFAC experience is preferred Requirements:

Locale New Jersey-Jersey City Expertise Finance Education Bachelors PercentTravel No Travel Job Level Experienced JobType Full-time Years Experience 1-3 Preferred Language English License/Certification N/A

Please refer to Job code pershing-12304 when responding to this ad.

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