Compliance Officer recruitment
Duties and Responsibilities:
The primary responsibilities of the position are to provide compliance support to Knight Execution Clearing Services’ Knight BondPoint Division. Work with management to formulate, develop and implement supervisory, surveillance and control procedures, systems and audits. Follow-up and seek resolution of issues identified through the firm’s supervisory and surveillance process. Interact with the Firm’s regulatory authorities on examinations, inquiries and rule development initiatives. Work with risk and credit departments to ensure that appropriate controls are in place to monitor risk and credit exposure.
Essential Experience and Skills Required:
• Significant experience working in a compliance or related function.
• Understanding of the application of SEC, FINRA and MSRB Regulations applicable to fixed income products, sales and trading.
• Understanding of Regulations ATS and familiarity with current market structure issues applicable to fixed income products, sales and trading.
• Familiarity with broker dealer systems and applications.
• Strong written and verbal skills.
• Experience in designing an effective compliance program
• Ability to identify and analyze issues and provide clear sensible solutions in light of the relevant legal regulatory requirements.
• Must have an understanding of Fixed Income Markets
Required Education Experience:
Preferred candidate will have 5-7 years of experience in the compliance department of a financial services firm or comparable experience with a regulatory agency. M.B.A., J.D. or other advanced degree a plus but not required.
Knight is an equal opportunity employer and is committed to creating a work environment that develops the personal and professional growth of its employees – regardless of age, color, disability, marital status, national origin, race, religion, sex, sexual orientation or veteran status.