Equities: Sales & Trading, Prime Brokerage & Stock Loan Compliance Officer recruitment
Position Category: Legal/Compliance
Position Title: Equities: Sales Trading, Prime Brokerage Stock Loan Compliance Officer
Job Level: Executive Director
Location: USA - NY - New York
Education Required: Bachelors Degree
Position Description:
Provide Compliance support for equity sales and trading desks, including stock loan and prime brokerage, as well as support functions
Design applicable training for business unit personnel
Assist in the design and maintenance of written supervisory procedures as prescribed in NASD 3010 and 3012
Assist in regulatory reviews, audits and other examinations
Communicate with traders and supervisors to assess risk and remediate issues
Actively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulations
Interact with technology support and risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation
Skills Required:
10 - 15 years of experience providing compliance support for equity sales and trading desks, specifically stock loan and prime brokerage.
Experience assisting with regulatory inquiries and exams, including communicating when needed with external regulators and working closely with internal exams and inquiries personnel.
Experience communicating with traders of all levels, including senior members of the business.