Sr. Compliance Manager recruitment

Reporting to the Chief Compliance Officer (CCO), the role of the Senior Compliance Manager is to support the CCO with oversight and management of a compliance team and compliance program for several trading businesses including options market making, proprietary, and client trading. Responsibilities will include, but are not limited to, developing, documenting, maintaining, implementing and overseeing the necessary and diverse compliance policies and procedures and supervisory structure for a diverse organization. The ideal candidate for this position must be experienced with SEC and broker-dealer regulatory compliance requirements, risk-based audits, and have a strong management background. Working knowledge of SEC and exchange regulations and interpretations is also required.

Responsibilities:
• Ensure that applicable policies and procedures, including written supervisory procedures and manuals, are comprehensive, robust, current, and reflect the firm’s business practices and processes.
• Enhance, develop, and deploy comprehensive and ongoing compliance and ethics training.
• Evaluate and redesign compliance and other department processes and reviews to demonstrate strong internal controls, mitigate risk, and create efficiencies.
• Support CCO by providing leadership, supervision and training within the Compliance Department. Train and coach compliance staff to effectively analyze compliance issues and implement solutions, resolve conflicts, and communicate issues within the organization.
• Support the CCO and businesses through advice and interpretations regarding existing and new business initiatives.
• Conduct comprehensive compliance reviews and risk assessments of business activities, practices and controls; identify and mitigate potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, provide guidance to business leaders and compliance staff on how to avoid or deal with similar situations in the future.
• Oversee existing surveillance and enhance as appropriate; forecast surveillance requirements, needs and wants; prepare comprehensive management reports of status and progress of surveillance initiatives.
• Partner with CCO in forecasting and preparing budgets, department goals and objectives, management reporting and conducting employee reviews.
• Assist CCO in fielding inquiries from management and compliance staff on compliance matters, rules, and interpretations.
• Oversee the maintenance of required books and records, both paper and electronic.

Requirements:
• Not less than ten years of compliance experience, ideally focused on trading U.S. products.
• Strong working knowledge of U.S. regulatory rules and interpretations, including but not limited to, options exchange rules.
• Ability to seek interpretations, and provide guidance on non-routine and often complex matters.
• Effective leadership, superior interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters.
• Exceptional verbal and written communication skills; ability to communicate at all levels.
• Highly motivated with capability to work with minimum supervision on a wide range of matters.
• Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail.
• Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential.
• Significant experience with coordinating regulatory exams, handing inquiries and preparing responses.
• Strong project management and general office software application skills.
• Very strong analytical skills (understanding of complex regulatory requirements with ability to apply to supported businesses).
• Flexibility to work overtime as required.