Senior Compliance Officer recruitment
This position is with a leading high frequency prop trading firm with offices in London and New York.
We require a candidate with:
• Must have a broad knowledge of regulated entities and compliance, regulated business environments and key regulatory issues especially as they relate to proprietary trading.
• This knowledge will include a demonstrated and strong track record of success working directly with key stakeholders and individuals residing within the various regulatory bodies and agencies.
• Must also have a balance of both strong technical skills, with particular emphasis on knowledge and practical application of securities laws, regulations and procedures.
• Should be a "decision maker" in your current organization and not purely a "technician".
Minimum of 4 years of experience working in a financial services organization that deals with principal / proprietary trading
• Strong working knowledge of the securities industry and applicable rules and regulations within the current regulatory environment
• The ability to identify and communicate "tough issues" or conflict situations while using well-developed influencing skills to work effectively across multiple teams and establish a cooperative environment
• The ability to quickly identify gaps or risk exposures in a compliance system and to develop and implement strong checks-and-balances
• Understands business issues and makes sound business judgments; implements and follows through on strategies to deliver results in a timely fashion
• Results orientation with a track record of success
• Excellent communication skills with the ability to translate compliance and regulatory changes into the implications for the firms business process and control environment
• Excellent inter-personal relationship skills
• Excellent project management skills
• Able to effectively balance competing interests; able to be viewed as a resource by the organization and act as a partner to the various constituencies
• Must excel at problem resolution, dealing directly and constructively with conflict and differences of opinion.
The role will focus on:
• Ensure that the firm operates in compliance with FSA and other applicable laws and regulations
• Interpretation and implementation of applicable FSA and other relevant laws regulations
• Assist in identifying compliance or supervisory deficiencies and implement corrective actions
• Review and supervise the firm's daily transactions
• Represent the firm in contacts with the FSA and other regulators, including managing regulatory
examinations and inquiries
• Assist in the investigation of employee conduct with regard to violations of firm policy and
procedures and regulatory requirements
• Perform routine and ad hoc trade surveillance
• Prepare and maintain current regulatory filings
• Identify, develop, organize, and deliver necessary compliance related training, and reinforce
compliance-related communications.
• Maintain and update Policies and Procedures, and keep abreast of applicable existing, new and
pending laws and regulations
• Maintain a strong working relationship with the other staff, particularly development
• Coordinate with central compliance department on shared functions (e.g., licensing appointment, HR overlap)
• Work closely with the trading, technology, operations and finance departments to assist with the
implementation of compliance programs.
To apply please contact James Kennedy
James.kennedy@njfsearch.com | +44 (0)20 7257 6213