Compliance Officer
Leerink Swann LLC - Boston, MA

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This individual will act as a Compliance Officer for an independent institutional brokerage and investment-banking firm specializing in the healthcare field. The ideal candidate will play an active role in enhancing the surveillance and regulatory compliance efforts in the primary business units of Institutional Sales and Trading, Research, Investment Banking and Consulting. This position constitutes a great learning opportunity. To apply, please email your resume to: compliance.recruitment@leerink.com and reference “Compliance Officer” in the title. Thank you for your consideration.

Primary Duties and Responsibilities:
  • Assist in the enhancement of an effective, robust and efficient compliance program though risk management, monitoring and surveillance of firm activities
  • Work closely with Senior Compliance Officers in review of Sales, Trading, Research, Investment Banking, Infrastructure and Consulting activities to keep these business units ahead of the regulatory environment
  • Assist with technological upgrades to meet increasing regulatory demands
  • Maintain current Firm written supervisory procedures and enhance as directed or applicable
  • Respond to real-time inquiries from traders, sales persons, research analysts, technology personnel and management
  • Act as a resource for education and training
Experience and Qualifications Required:
  • BA or BS degree required
  • Series 7 & 24 required; Series 4, 55, 79, 86, 87, or 99 registration a plus
  • Strong verbal and written communication skills communications
  • Ability to effectively and proactively communicate with persons of any professional level
  • Ability to understand, synthesize and communicate urgent information
  • Ability and experience in identifying regulatory issues and management reporting
  • Ability to multi-task and prioritize
  • Ability to take initiative and assume responsibility
  • Strong work ethic and commitment to Firm and Department
  • Minimum five years compliance experience or equivalent

Leerink Swann LLC - 18 months ago - save job - block
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