Compliance Analyst recruitment
In an ever-changing climate of rules and regulations, an individual in this role will:
- Work closely with the Firm’s Data Warehouse and Trading Developers to improve and automate the Firm’s existing suite of production and exception reports;
- Monitor the Firm’s activities to ensure consistency with regulatory requirements and the Firm’s policies procedures;
- Maintain the Firm’s Compliance Policies Procedures Manual including periodic revisions and amendments;
- Interface with the Firm’s Trading, IT, and Data Warehouse teams to identify and improve our risk and compliance exposures.
A successful team member will bring:
- 3-5 years of prior compliance experience involving a trading firm or regulatory body
- Working knowledge of Reg SHO and Reg NMS
- Finra Series 7, 24 preferred; Finra Series 3,4,55 a plus
- Prior experience with various Exchange Market Regulation Departments
- Prior experience developing and reviewing exception / production compliance reports
- Fundamental understanding of Market Maker / Lead Market Maker model
- History working closely with SEC, FINRA, SRO Regulators
- General understanding of FOREX trading / currency trading
- Proven track record of inter-departmental collaboration to propose solutions to compliance issues
- Level of familiarity with trading / compliance software
- Strong written and verbal communication; relationship-building skills are vital.
- Strong analytical skills -- have well-developed planning and organizing skills, and have a structured approach to tackling tasks and achieving results
- Ability to balance immediate risk and compliance exposure with the longer term needs of the Firm.
- Passion for the industry is essential
April 7, 2012
• Tags: Compliance Analyst recruitment, Trading careers in the USA • Posted in: Financial