Senior Compliance Officer recruitment
Senior Compliance Officer
The following experience and knowledge have been identified for this role: Five to Seven years of broker/dealer experience with at least two year in the compliance department preferred. Knowledge of regulatory rules, regulations and laws. Excellent understanding of broker/dealer activities, especially back office functions. Experience implementing regulatory changes which require programming and process changes. Ability to effectively communicate with programmers rule requirements and impact to systems. Technical writing skills desired.
Identify new or enhanced regulations impacting system and processes. Ensure the timely interpretation of rules in order to meet customer/industry timeframes for support of new or changed rules. Report impacts of regulatory changes to Thomson Reuters management and staff. Review new or enhanced regulations with staff for system impact .Work with customers to identify appropriate approach to regulatory changes. Represent Regulatory needs in the demand management meeting and provide appropriate supporting information to allow prioritization of regulatory enhancements. Work in collaboration other Product Managers to provide solutions that meet regulatory requirements. Ensure end product meets rule requirements. Ensure the timeliness of component delivery. Immediately Report any regulatory issues to management and appropriate departments. Work with appropriate teams to remediate any regulatory issues caused by products on a timely basis. Participate on brokerage clearing industry conference calls and represent firm on industry groups such as SIFMA's Operations Committee. Work Collaboratively e within your own group and with others outside your group. Report Regulatory project status to customers on a regular basis (at least once per month). Serve as Lead for the regulatory working committee for certain initiatives.
At Thomson Reuters, we deliver intelligent information quickly and efficiently, so professionals have knowledge to act. We combine industry expertise with innovative technology to deliver critical information to leading decision makers in the financial, legal, tax and accounting, intellectual property and scientific, healthcare, and media markets, powered by the world's most trusted news organization.
Skills
At Thomson Reuters, we believe what we do matters. We are passionate about our work, inspired by the impact it has on our business and our customers. As a team, we believe in winning as one - collaborating to reach shared goals, and developing through challenging and meaningful experiences. With over 55,000 colleagues in more than 100 countries, we work flexibly across boundaries and realize innovations that help shape industries around the world. Making this happen is a dynamic, evolving process, and we count on each employee to be a catalyst in driving our performance - and their own.
As a global business, we rely on diversity of culture and thought to deliver on our goals. To ensure we can do that, we seek talented, qualified employees in all our operations around the world regardless of race, gender, national origin, religion, sexual orientation, disability, age, or any other protected classification under country or local law. Thomson Reuters is an Equal Employment Opportunity/Affirmative Action Employer.
Intrigued by a challenge as large and fascinating as the world itself? Come join us.
To learn more about what we offer, please visit careers.thomsonreuters.com.
More information about Thomson Reuters can be found on thomsonreuters.com.