Compliance Officer – Possible CCO recruitment
The Compliance Officer will provide real time trading advice and support to the firm’s proprietary trading desk(s) in both listed and Nasdaq securities. The ideal candidate will insure regulatory requirements are evaluated, addressed, and observed in strict compliance with SEC, FINRA, and CBOE regulatory bodies. The Compliance Officer will be required to interpret and communicate new rule changes that will impact the firm and provide guidance in adhering to rule guidelines. Requirements will include amending/updating the firms Written Supervisory Procedure's (WSP's) as necessary to conform to new regulations.
Responsibilities will include and extend to providing guidance to traders on regulatory requirements as they pertain to, but not limited to 13h and 15c3-5. Perform daily, weekly, and monthly reviews to insure proper trading activity monitoring and exception reporting. The Compliance Officer will educate trading professionals on compliance procedures and new regulations. In addition the Compliance Officer will research and provide guidance on new trading proposals and trading styles. The ideal candidate should be intimately familiar with working with regulators on regulatory exams and preparing timely responses to regulatory inquiries. Periodic inspections and oversight over branch offices will be required. Excellent written and verbal communication skills in addition to strong organizational skills are a must. Project management and interpersonal skills are key.
Qualifications/Required Skills:
- Experience and proficiency 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