Regulatory Inquiries Group
Position Description
Research, analyze and respond to regulatory inquiries from the US Securities and Exchange Commission (SEC), US Commodities and Futures Trading Commission (CFTC) and Self-Regulatory Organizations (SRO) relating to Federal laws and SRO/Exchange rule violations (e.g., ISE CBOE option rules, NYSE principal trading, insider trading, Regulation M, front-running, information barriers, etc.).
Analyze complex trading data to distill the information into responses regarding trade executions/order handling.
Interact directly with Business Unit personnel, sales traders/traders, technology personnel, external and internal counsel, operation personnel, compliance coverage, etc. as required, to investigate, gather Firm documents, analyze and respond to complex trade inquiries.
Prepare formal responses to regulators and provide advice to business and compliance personnel.
Respond to "real time" trading situations presented by Regulators relating to best execution issues.
Skills Required
Bachelor degree with a minimum 3- 5 years experience in either a self-regulatory organization such as the NYSE, FINRA, AMEX, SEC or similar broker/dealer regulatory work with an emphasis on trading rules and institutional securities business.
Series 7 preferred.
Ability to understand complex trading technologies in order to analyze and extract trading data to respond to regulatory inquiries implicating SEC and SRO rules and regulations.
Excellent interpersonal skills, with the confidence, credibility, and ability to work effectively within the organization, and communicate and interact with both junior and senior business personnel.
Ability to work independently in responding to complex regulatory inquiries.
Must possess strong computer skills.
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