Fiscal Year

2024

Case Number

A-23013-87089

Case Status

Certified-Expired

Received Date

2023-01-13

Decision Date

2024-02-22

Refile

N

Original File Date

2024-01-01 00:46:00

Previous SWA Case Number State

Schedule A Sheepherder

N

Employer Name

FIRST DERIVATIVES US, INC.

Employer Name Slug

first-derivatives-us-inc

Employer Address 1

45 BROADWAY

Employer Address 2

20TH FLOOR

Employer City

NEW YORK

Employer City Slug

new-york

Employer State

NEW YORK

Employer State Slug

new-york

Employer Country

UNITED STATES OF AMERICA

Employer Postal Code

10006

Employer Phone

212-447-6700

Employer Number of Employees

300

Employer Year Commenced Business

2009

NAICS Code

541511

FW Ownership Interest

N

Employer Contact Name

Lauren Osbahr

Employer Contact Address 1

45 Broadway

Employer Contact Address 2

20th Floor

Employer Contact City

New York

Employer Contact State/Province

NEW YORK

Employer Contact Country

UNITED STATES OF AMERICA

Employer Contact Postal Code

10006

Employer Contact Phone

212-447-6700

Employer Contact Email

losbahr@fdtechnologies.com

Agent Attorney Name

Eamonn Dornan

Agent Attorney Firm Name

Dornan Associates PLLC

Agent Attorney Phone

9142379545

Agent Attorney Address 1

1032 McLean Avenue

Agent Attorney Address 2

Suite 2

Agent Attorney City

Yonkers

Agent Attorney State/Province

Agent Attorney Country

UNITED STATES OF AMERICA

Agent Attorney Postal Code

10704

Agent Attorney Email

denise@dornanlaw.com

PW Track Number

P10022038881683

PW SOC Code

13-1041

PW SOC Title

Regulatory Affairs Specialist

PW Skill Level

Level I

PW Wage

57970.00

PW Unit of Pay

Year

PW Wage Source

OES

PW Determination Date

2022-09-28

PW Expiration Date

2023-06-30

Wage Offer From

104000.00

Wage Offer To

0.00

Average Salary

104000.00

Wage Unit of Pay

Year

Worksite Address 1

45 Broadway

Worksite Address 2

Worksite City

New York

Worksite City Slug

new-york

Worksite State

NEW YORK

Worksite Postal Code

10006

Job Title

Senior Consultant, Team and Quality Control Lead

Job Title Slug

senior-consultant-team-and-quality-control-lead

Minimum Education

Bachelor's

Major Field of Study

Business, Finance or related degree

Required Training

N

Required Experience

Y

Required Experience Months

24

Accept Alternative Field of Study

Y

Accept Alternative Major Field of Study

Any related degree

Accept Alternative Combination

N

Accept Alternative Combination Education

Accept Alternative Combination Education Years

Accept Foreign Education

Y

Accept Alternative Occupation

Y

Accept Alternative Occupation Months

24

Accept Alternative Job Title

Job offered or related

Job Opportunity Requirements Normal

Y

Foreign Language Required

N

Specific Skills

The required experience in the job offered or related occupation must include at least two year of experience supporting, and maintaining quality compliance for fortune 500 clients in the Capital Markets Industry. Reviewing, editing, and publishing Policies Procedures in accordance with SEC SBS Rule requirements. Identifying supervisory gaps in systems and assisting technology teams in their system update process. Constructing a standard set of procedures to drive the basis of the entire AMLKYC process. Establishing guidelines to designate, tag, and monitor SEC SBSD Associated Persons and Supervisors. Delegating, tracking, mentoring, and training junior members. Utilizing speciality regulatory knowledge of Legal, Compliance, Regulation, AntiMoney Laundering, Know Your Customer, US PATRIOT Act, US Bank Secrecy Act, and Dodd Frank.br br Employer will accept any suitable combination of education, training or experience

Combination Occupation

N

Offered to Applicant Foreign Worker

Y

Foreign Worker Live on Premises

N

Foreign Worker Live in Domestic Service

N

Foreign Worker Live in Domestic Service Count

Professional Occupation

Y

Application for College/University Teacher

N

SWA Job Order Start Date

2022-10-04

SWA Job Order End Date

2022-11-05

Sunday Edition Newspaper

Y

First Newspaper Name

New York Times

First Advertisement Start Date

2022-11-06

Second Newspaper Ad Name

New York Times

Second Advertisement Type

Newspaper

Second Ad Start Date

2022-11-13

Employer Website From Date

2022-10-04

Employer Website To Date

2022-11-05

Professional Organization Ad From Date

2024-01-01 00:46:00

Professional Organization Advertisement To Date

2024-01-01 00:46:00

Job Search Website From Date

2022-11-06

Job Search Website To Date

2022-12-05

Employee Referral Program From Date

2024-01-01 00:46:00

Employee Referral Program To Date

2024-01-01 00:46:00

Local Ethnic Paper From Date

2022-11-09

Local Ethnic Paper To Date

2022-11-09

Radio/TV Ad From Date

2024-01-01 00:46:00

Radio/TV Ad To Date

2024-01-01 00:46:00

Employer Received Payment

N

Posted Notice at Worksite

Y

Layoff in Past Six Months

N

Country of Citizenship

IRELAND

Foreign Worker Birth Country

IRELAND

Class of Admission

L-1

Foreign Worker Education

Bachelor's

Foreign Worker Information: Major

FINANCE

Foreign Worker Years of Education Completed

2014

Foreign Worker Institution of Education

MAYNOOTH UNIVERSITY

Foreign Worker Education Institution Address 1

MARIAVILLA

Foreign Worker Education Institution Address 2

Foreign Worker Education Institution City

MAYNOOTH

Foreign Worker Education Institution State/Province

KILDARE

Foreign Worker Education Institution Country

IRELAND

Foreign Worker Education Institution Postal Code

Foreign Worker Experience with Employer

N

Foreign Worker Employer Pays for Education

N

Foreign Worker Currently Employed

Y

Employer Completed Application

N

Preparer Name

Eamonn S Dornan

Preparer Title

Attorney

Preparer Email

denise@dornanlaw.com

Employer Information Declaration Name

Lauren Osbahr

Employer Information Declaration Title

Human Resources