AVP Equities Compliance Advisory
Key responsibilities will include:
- Assist in covering compliance issues in Equity Derivatives, products include: Listed Equity Derivatives, Convertibles, ETFs and Index Derivatives.
- Conduct regular reviews of policies and procedures to ensure compliance with laws and regulations.
- Maintain accurate and complete compliance documentation.
- Assist with responding to regulatory inquiries and exams.
- Assist in the review of new Equity Derivative related initiatives and products
Person Requirements
Basic Qualifications:
- 4-year college degree
- 2+ years of working experience
Preferred Qualifications:
- Knowledge of Broker-Dealer operation and sales and trading functions a plus
- Knowledge of audit and regulatory inquiry processes/principles a plus
- Good communication skills, ability to interact and work closely with business partners.
- Reliable, dependable, accountable.
- Basic product knowledge of Listed and OTC Equity Derivatives
- Understanding of the rules of main US Options and Stock Exchanges
- Proactive person who challenges processes and looks for improvements.
Strong Oral and Written Communication Skills
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