Team Lead
Position Description
Act as Team Lead in Inquiries Group. Research, analyze and respond to regulatory inquiries from the SEC, CFTC and SROs relating to possible federal laws and SRO/Exchange rule violations; analyze complex trading data to distill the information into responses regarding trade executions and order handling; interact with business unit personnel, traders, technology and operations personnel, external and internal counsel, compliance coverage, etc., as required to investigate, gather responsive documents, analyze and respond to complex trade inquiries; prepare formal response to regulatory inquiries; provide advice to business and compliance personnel; and respond to "real time" trading situations as presented by regulator.
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.
Strong organization skills with the ability to multitask and prioritize a high volume of work.
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