Head of Trading Compliance recruitment

The Role

This is a broad based role where you will need to exercise your natural leadership capabilities and have the ability to balance the strategic and transactional.

Key responsibilities will include but not be limited to:

• Provide proactive advice to the Equity Sales and Trading business in addition to addressing day to day questions and provide regulatory guidance on new product and service development.

• Investigate escalated trade surveillance alerts

• Lead, guide and develop a team of initially 4 Compliance professionals and be responsive for driving and reviewing their performance

• Respond to regulatory inquiries and manage regulatory examinations and internal audits

• Write, Implement, drive and review written supervisory procedures and wider compliance policy. Identify gaps and correct any regulatory concern 

• Provide ongoing training to the business on relevant rules, regulations and firm processes and policies

• Interface with IT to implement new systems and strive for continuous improvement to compliance system

This is a wonderful opportunity for an individual who is looking for breadth and a diversity of tasks within a role. Working within a collegial team environment this is a role well suited to an individual looking to work in a less structured and more entrepreneurial environment where the impetuous is on the ability to make decisions whilst continuing to roll your sleeves up.

Experience

We are seeking a candidate who is a self starter and who has a proven ability to develop relationships and influence. You will bring to the table:

• Very strong Equity Compliance experience. Candidates with a minimum of 7 -15 years plus of trading compliance experience are sought.

• You will be degree educated. Advanced degree ie. MBA or JD is preferred.

• Advanced verbal reasoning and ability to make sound decisions and judgments.

• Ability to absorb new information and learn quickly.

• Work in partnership and effectively in a high impact environment.

• Effective communication skills and the ability to lead.

• Strong organizational and problem-solving abilities

The organization provides individuals with breadth of exposure and a dynamic and stimulating work environment. This is a highly successful, growing yet stable organization.

Contact

If you are interested in finding out more about this role, or would like information on how to register proactively with Michael Page please press the apply button or alternatively please reach out to-  (Fiona Webber at fwebber@michaelpage.us.com or 212 661 4800). Fiona is a specialist Regulatory Compliance Recruiter.

Michael Page International is one of the World’s leading professional recruitment consultancies, specializing in the placement of candidates in permanent, contract, temporary and interim positions with clients globally.