Trading Compliance Officer recruitment
The Role
The organization has a very people centered philosophy and employees are valued and encouraged to present new ideas in order to push the business forward.
Key responsibilities will include but not be limited to:
- Daily trade surveillance, employee trade and restricted list monitoring for the Equities and Fixed Income Trading desks.
- Review of Exception Reports and TRACE reporting
- Address day-to-day trading, sales, and compliance questions on new and existing regulations and respond to regulatory inquiries.
This is the perfect opportunity for an individual who has a foundation of experience but is looking to grow and develop and have the support of a mentor. The organization provides individuals with breadth of experience and a dynamic and stimulating work environment.
Experience
You will have a minimum of a Bachelors degree coupled with at least 3 years' of experience within a trading compliance environment. Candidates who have had some exposure working for a Regulator are highly sought but this is not a requirement.
You will also be able to demonstrate the following:
- Ability to absorb new information and learn quickly
- Positive attitude and MUST be a self starter
- Strong communication skills with a proven ability to influence others
- Strong organizational skills and ability to prioritize and multi task effectively.
- Experience working within a Trading Compliance Group be it surveillance and or advisory. Candidates with exposure to Equities Compliance or Fixed income Compliance or both are essential.
- Series 7 and Series 24 are highly desired and would place the candidate at a distinct advantage should they have one or more of these licenses.
The Organization
Our client is a Mid Sized full service Investment Bank. The business is performing strongly, is stable and offer its employees a professional yet collegial environment to work in. The organization has an entrepreneurial feel.
Contact
If you are interested in finding out more about this role, or would like information on how to register proactively with Michael Page please press the apply button or alternatively please reach out to- (Fiona Webber at fwebber@michaelpage.us.com or 212 661 4800). Fiona is a specialist Regulatory Compliance Recruiter.
Michael Page International is one of the World’s leading professional recruitment consultancies, specializing in the placement of candidates in permanent, contract, temporary and interim positions with clients globally.