Compliance Customer Service Specialist III in Melville, NY

Job Description Years of Experience 2 or more years of Full time experience in Back Office Investment Industry, compliance, audit, legal, finance or risk management Education Bachelors degree from an accredited college or university or equivalent experience required LicensingFINRA Series 7 FINRA Series 24 a plus Certification Professional certification or in progress Core Professional Knowledge - working knowledge of the following frameworks: Compliance Risk Policy, Standards and Procedures Risk Management and Control Framework Compliance Management Program Framework, specifically as it relates to: Governance, Training, Risk Assessment, Corrective Action, Decision Making, Monitoring and Reporting. Compliance Management Program and Compliance Decision Making Governance (CDMG)Skills & Notes Contractor will be signing off and placing trades Cashiering and account maintenance Current team has ten (10) people on it Position is on the operational side of compliance Apex Systems, Inc. is an Equal Opportunity Employer and encourages minority and female applicants to apply. To Apply to this job go to http://www.GadBall.com or click here