Regulatory/Compliance Business Analyst – Equity Derivatives Trading recruitment
Global Financial firm is seeking a Senior Business Analyst with Regulatory/Compliance experience for their Equity Derivatives Trading Desk.
Candidates must have expertise in U.S. trading regulations and market structure issues, including: Reg SHO, Reg ATS, Reg NMS, Reg M, Distributive Linkage, Market Access Rule, circuit breakers, best execution, trade reporting, OATS, Rule 15a-6, Large Trader Reporting Rule, Limit up/Limit Down Rule, Institutional Suitability Rule, information barriers, etc.
This is a Fulltime role located in New York City.
Requirements and responsibilities include:
- 5-10 years experience within an investment bank or Hedge Fund covering Equity financial instruments
- Interpret regulatory requirements for the businesses of the Equities Division, discuss proposed rules and regulations from the SEC, the exchanges and FINRA
- Respond to internal audit requests and requests of other control areas
- Draft and review compliance policies and procedures, written supervisory procedures and Compliance Bulletins
- Prepare and deliver compliance training for Equities and IT personnel
- Assist in the preparation of responses to regulatory inquiries and examinations
- Bachelor Degree Required
August 14, 2012
• Tags: Compliance Business Analyst, Equities careers in the USA, Equity Derivatives Trading recruitment, Regulatory • Posted in: Financial