Compliance Officer
Qualifications:
- Must have experience with listed and Nasdaq trading, as well as trade reporting.
- Must be fluent in all current trading rules and the regulatory environment.
- Experience with other aspects of Broker/ Dealer compliance helpful.
- Must be able to work independently.
- 5 – 10 years compliance experience (preferably in a heavy trading environment)
- Must possess series 7, 24, and 63 licenses.
- Series 27 and/or Series 14 a plus
- Back Office Operations Experience a plus.
Responsibilities Include:
- Provide real time trading advice and support to the firm’s trading desk
(listed and Nasdaq)
- Provide real time advice to the traders on regulatory requirements
- Perform daily, weekly and monthly reviews to insure proper trading
activity monitoring and exception reporting.
- Educate trading personnel on compliance procedures and new regulations
- Amend firm Written Supervisory Procedures as necessary to conform to
new regulations.
- AML experience required
- Research and provide guidance on new trading proposals and trading
styles.
- Work with regulators on regulatory exams and prepare responses for
regulatory inquiries.
- Conduct monthly firm log reviews
- Excellent written and verbal communication skills.
- Strong organizational skills and self-starter.
- Excellent interpersonal skills.
- Project management skills.
Leave a Reply
You must be logged in to post a comment.