Compliance Vice President recruitment
CRT Capital Group (CRT) is a Stamford, CT-based broker-dealer that provides security brokerage and research services to over 900 institutional accounts with established counterparty relationships around the world. The Firm caters to asset managers, insurance companies, pension funds, hedge funds and investment firms with a focus on fixed income and equity securities. CRT, formerly known as Credit Research and Trading LLC, was founded in 1989 and employs approximately 150 individuals with a wide breadth and depth of industry knowledge.
As part of our ongoing efforts to build a scalable and “best in class” investment infrastructure, we have an immediate need in our Compliance Group for a Vice President. This position will initially be based in Stamford, CT but will be slated for migration to the Firm’s New York Office.
In this role, you will partner with the Chief Compliance Officer to ensure that CRT is compliant in all of its trading activity and ensuring that the firm is up to date with all new regulations and pronouncements. Although there are a number of “generalist” elements to this role, candidates will be required to primarily support the Firm’s Research and Investment Banking groups. The ideal candidate will have the ability to multi-task in a highly demanding and dynamic environment and be comfortable interacting with all levels of management.
Responsibilities:
- Implementing , administering and assessing the effectiveness of information barriers.
- Maintaining and distributing Restricted and Grey Lists.
- Pre-approving research product to ensure disclosure adequacy.
- Monitoring the regulatory landscape for rule proposals, assessing the degree to which it may impact the Firm and coordinating the revision of policies and procedures to address gaps.
- Researching exceptions, ensuring that violations are resolved in a timely manner and documenting remedial actions.
- Actively participating in general projects and initiatives (e.g., annual compliance program testing, system enhancements, new product assessments, reporting capabilities)
Skills / Requirements:
The ideal candidate will have a minimum of 3 years in a similar position and have a strong foundation in Compliance regulations with a demonstrated ability to operate in a fast paced and demanding environment. Additionally, candidates will have the desire to build and improve upon the status quo and have the intellectual curiosity to add value to the Compliance function outside of their scope of responsibility. Candidates must have strong written and verbal communication skills and have a robust analytical familiarity with SEC and FINRA rules and regulations. Bachelors degree required.
No agencies please. Due to the high volume of resumes received, only qualified candidates will be contacted.
Please submit all resumes to HR@crtllc.com