Compliance Officer (Securities) recruitment
Day to Day Responsibilities Include:
- Process regulatory and exchange requests focusing on Listed Options.
- Coordinate and respond to regulatory options related exams and reviews.
- Assist with the creation, enhancement and review of options related surveillances.
- Conduct options related desk and branch reviews
- Focus on routine regulatory reporting, such items as LOPR, BlueSheets, etc.
- Develop positive working relationships with regulators to facilitate communications with NUSA.
- Assist in the preparation of advice and information to staff on rules and regulations, taking guidance from senior colleagues.
- Assist in the delivery of Compliance training to all staff on various regulatory matters.
- Develop and enhance policies and procedures.
- Liaise with Trade Monitoring Team and assist in the review of marketing material issued by the front office.
- Provide appropriate support and advice to other support departments in relation to the application of rules and regulations to their function (i.e. providing guidance to Legal and Sales Facilitation Group on account opening processes).
- Conduct internal investigations of potential breaches of rules and/or regulations.
- Assist colleagues in relation to the on-going implementation of new rules within NUSA.
- Assist to position Compliance as a business partner to facilitate business policies in accordance with all relevant rules and requirements.
- Proactively position company for regulatory changes and new developments.
Qualifications Include:
- In-depth knowledge of options trading strategies, rules and regulatory reporting requirements.
- Awareness of securities products.
- Ability to work under own initiative and experience when targets and tasks are set.
- Familiarity of rules and regulations of markets on which NUSA participates.
- Good written and verbal communication skills.
- 7+ years Compliance experience.
- Ability to effectively analyze issues and problems
Newedge is a leading force in global multi-asset brokerage with a world-leading position in the execution and clearing of listed derivative products. Newedge offers access to more than 85 markets and has a presence in 23 locations across 17 countries.
Newedge offers a full range of execution and clearing services covering options and futures contracts for financial products and commodities, as well as for money market instruments, bonds, FX, equities and commodities on OTC markets. Newedge also provides a range of value added services including prime brokerage, asset financing, electronic trading and order routing, cross margining, and the centralized reporting of client portfolios.
Supported by two top tier rated shareholders, Société Générale and Crédit Agricole CIB, Newedge is independently run and regulated.
Newedge is an equal opportunity employer. For more information about Newedge, visit