Compliance IT Manager
Linium Resources - New York, NY

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RESPONSIBILITIES
  • Manage the relationship and projects between Technology and Compliance.
  • Manage the relationship with the vendor Zantaz as well as communicate issues and problem solve with the vendor.
  • Provide technology guidance to the Compliance Department and help ensure that Compliance technology needs are communicated effectively to the Technology Department.
  • Act as the Business Continuity representative for the Compliance Department.
  • Maintain the ITEC/Compliance Operating procedures which include Zantaz procedures as well as the policy on spreadsheets
  • Escalate key issues that arise to the attention of Compliance Management

TECHNICAL SKILLS

Required/Must have:
  • Advanced experience with Actimize, Zantaz, Broadridge, and other proprietary systems

COMPETENCIES

Required/Must have:
  • Working knowledge of bank and broker dealer compliance systems, rules and regulations.

PRIOR WORK EXPERIENCE

Required/Must have:
  • 7 plus years of IT experience in a Client / Broker Dealer Compliance environment.

EDUCATION

Required/Must have:
  • Bachelor’s degree or higher education level of experience