JOBS AVAILABLE - Our Community Board for Employers & Recruiters to Post Job Openings

Business Conduct Director

Lee Harper — Mon, 02 Nov 2009 14:17:29 GMT

Line of business Business Conduct Director is responsible for implementing and leading the LoB ethics and business conduct program. Working with the Leadership team the incumbent will support the development and maintenance of an organizational culture in which integrity, honesty and compliance with the letter and spirit of applicable legal and regulatory requirements is a guiding principle at all levels of the LoB. The incumbent will partner with other functions to ensure that the LoB business objectives including M&A activity are achieved without compromising the commitment to act in accordance with BAE Systems? Global Code of Conduct and its core ethical principles. The incumbent will interface with employees, managers, and leaders at all levels of the LoB as well as other BAE Systems, INC employees.
ADDITIONAL REQUIREMENTS
Must have proven experience in developing and leading an ethics or business conduct program for a business organization. Must have experience in setting strategic goals for an ethics program. Position requires an individual that is able to establish and maintain a high degree of trust with employees and the highest level of management. Must have proven experience in conducting and resolving ethics investigations. Must have a minimum of a Bachelors degree with 7-10 years of experience. Must have strong interpersonal skills with the ability to have situational awareness through effective data gathering and analysis. Must have good influencing and collaboration skills and be capable of working effectively across functional areas. Must have good follow through and an ability to work with minimal supervision. Must have the abilty to receive a government security clearance. Masters degree or other graduate degree preferred.
CLOSING
BAE Systems is the premier global defense and aerospace company, delivering a full range of products and services for air, land, and naval forces, as well as advanced electronics, information technology solutions, and customer support services. With 105,000 employees worldwide, BAE Systems had 2008 sales of $34.4 billion. Electronic Solutions, based in Nashua, New Hampshire, provides systems and products that maximize the effectiveness and safety of fighting forces and first responders. Its offerings include infrared countermeasures and electronic protection systems for military and civilian aircraft; information management systems; signal acquisition, analysis, and exploitation systems that optimize use of the electromagnetic spectrum by friendly forces while denying its use by adversaries; interoperable communications systems for firefighters and other first responders; thermal weapon sights; precision targeting systems; situational awareness systems for ground vehicles; night-vision systems; identification friend or foe systems; and radiation-hardened electronics. Electronic Solutions also includes the groups Advanced Systems & Technology unit, which joins EI&S with government research organizations and industry to develop and demonstrate innovative system concepts in such areas as situational awareness, communications and networking, and precision targeting. To apply go to http://www.baesystems.jobs and search on the job title. Note: Multiple positions available in differt locations. Check the career site for more information.

Compliance Officer - Greenwich CT

Interactive Brokers LLC — Thur, 29 Oct 2009 21:59:16 GMT

Title: Compliance Officer - Securities and Futures
Competitive Salary plus Discretionary Bonus
Location: Greenwich, CT

Description:
This position will report to the Chief Compliance Officer and will be responsible for:

- Monitoring trading activity from surveillance reports, reviewing employee communications, employee trading. Designing and implementing continuing education training for staff.

- Responding to communications including letters, phone calls, and email from regulators, attorneys, using investigative skills and knowledge to research, analyze and resolve customer issues.

- Tracking and reporting of customer complaint data including reviewing and analyzing applicable information regarding the investigation and complaint resolution. Documenting complaint trends or potential compliance issues based on database analysis and suggesting proactive solutions.

- Assisting with the investigation and analysis of issues relating to written supervisory and operational procedures, advertising and sales literature and other relevant data.

Qualifications:
- Minimum of 5 years experience

- Previous employment experience with a Broker Dealer, FCM, or SRO
- Track record of outstanding achievement in academics, employment, and personal endeavors
- Ability to work in an automated, hands-on environment

- BS/BA in related field

- Securities licenses: Series 7& 24 preferred

Submit a resume to afeist@interactivebrokers.com

Compliance Officer - Futures (NY)

Stuart Rosenthal — Mon, 24 Aug 2009 23:45:51 GMT

Title: Compliance Officer - Futures
Base: Up to $150K, plus Discretionary Bonus
Location: New York, NY- Midtown

Description:
This position will report to the Senior Compliance Officer and will be responsible for:

-Ensuring that the Firms Futures department operates in compliance with CFTC and NFA regulations through various proactive surveillance, audit and training functions including: Monitoring and documenting the Firms trade flows, order execution and trade reporting functions for best practices and irregularities
-Review of the Firms Futures compliance policies and procedures
-Documenting, categorizing and testing the Firms surveillance efforts

Qualifications:
-Minimum of 2-3 years experience working with a regulator
-NFA or CFTC experience preferred
-Track record of outstanding achievement in academics, employment, and personal endeavors.
-BS/BA in related field.

Please submit a resume by email, call (973) 826-0537 or send an email to StuartRosenthal@RosenthalRecruiting.com to discuss and learn more about this opportunity.

Fixed Incom Compliance Associate

Suzanne Pataki — Mon, 22 Jun 2009 13:47:48 GMT

Weeden & Co., LP, a Greenwich, CT located Broker/Dealer, is seeking a Fixed Income Compliance Associate. This person will be primarily responsible for the Fixed Income Division's Compliance with SEC, FINRA and MSRB rules and regulations. Must be licensed 7/24/63/53, or willing to take the 53. At least 8 years experience. Please contact Joanne Ferrari at jferrari@weedenco.com.