Technology Compliance Officer
Key responsibilities will include:
We are seeking a versatile Compliance Officer who is experienced, intelligent, eager, personable, independent, assertive and able to work in a fast-paced, time-sensitive, stressful financial and technological environment. The position will report to the Deputy Chief Regulatory Officer/Chief Compliance Officer. The job responsibilities include the following:
- Providing compliance and regulatory advice to the Technology and Product Management areas of the firm;
- Testing and validating systems infrastructure for compliance with the exchanges’ rules and applicable laws and regulations;
- Supporting the Incident Management process with regards to Firm's ongoing compliance with regulatory requirements, guidelines and evolving expectations;
- Developing and operationalizing Policies and Procedures regarding the role of compliance in the software development life cycle in the change management process;
- Advising Technology and Product Management on initiatives including systems enhancements and new regulatory developments;
- Performing risk assessments on existing surveillances and monitoring tools for the exchanges;
- Working closely with industry networks to stay abreast of market structure developments and industry initiatives;
- Assisting in regulatory inquiries, inspections and examinations;
- Liaising with the Internal Audit Department and Chief Information Officer on internal audits of Technology-related functions and processes; and
- Contributing to the development of repeatable, sustainable, adaptable, and demonstrable processes throughout the firm.
Requirements
The ideal candidate would have the following qualifications and experiences:
- An undergraduate degree from a 4-year institution;
- 5-7 years of relevant experience in a Compliance, Technology or Business Analyst role;
- Strong understanding of electronic trading systems;
- Experience developing trading systems or the implementation of testing and monitoring of trading systems for compliance with relevant rules;
- Good judgment and the ability to stand up to and earn the confidence of colleagues in Technology;
- Excellent verbal and written communication skills;
- Superior time management and organizational abilities;
- A proven ability to handle multiple projects and solve problems in a fast-paced work environment;
- An advanced degree (MS, MBA or JD); and
- Series 7 and 24 (will be expected to complete if not currently licensed).
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