Job Title: Compliance Manager
Date Posted: 09-25-2007
Job Location: Massachusetts-Boston
Job Type: Full Time
Education Level: Bachelors Degree
Work Experience: 2+ to 5 Years
Job Shift: First Shift
Yearly Salary:DOE (Depend on Experience)
Company Name: NASD
Company Website: www.nasd.com
Contact Information: Laura   Ciaravino (careers.ny4@nasd.com)
Job Description:
NASD is the leading private-sector provider of financial regulatory services, dedicated to
bringing integrity to the markets and confidence to investors through effective and efficient
regulation and complementary compliance and technology-based services. NASD touches virtually
every aspect of the securities business - from registering and educating all industry
participants, to examining securities firms, enforcing both NASD rules and the federal
securities laws, and administering the largest dispute resolution forum for investors and
member firms.

 

NASD is currently seeking talented individuals for COMPLIANCE EXAMINERS in our various
district offices; New York, Woodbridge, Boston, Philadelphia, Denver, Los Angeles, San
Francisco, Dallas, Boca Raton, and Chicago. The major purpose of this position is to conduct
on-site examinations and reviews of member firmsí compliance programs and systems; analyze
sales practices; assess member firmsí financial and operational conditions; prepare reports;
and investigate investor complaints. Work is normally performed in an office environment.
Travel is required; extended hours are frequently required.

 

Qualified candidates will have a Bachelorís degree in Finance, Accounting, Business
Administration or a related discipline; a minimum of nine credit hours in accounting is
required; and a minimum of one year directly related experience in a regulatory, compliance or
investigative role. Excellent interpersonal, written and verbal communication skills, and
computer proficiency are essential. Experience in the securities industry is preferred.
Applicants must achieve an acceptable rating on a pre-employment assessment of writing skills.


 

In addition to a competitive salary, comprehensive health & welfare benefits, and an incentive
bonus, NASD offers immediate participation and vesting in a 401(k) with company match; a
company funded pension plan; tuition reimbursement and many other benefits. 

 

If you would like to contribute to our important mission and work collegially in a
professional organization that values intelligence, integrity and initiative, consider a
career with NASD. EOE/AA. M/F/D/V

 

For consideration, send your resume, with salary requirements and a cover letter detailing
your qualifications against our requirements to Laura Ciaravino at careers.ny4@nasd.com or fax
212.858.4022.

 

 

Investor protection.  Market integrity.
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