Trading Floor Compliance – Investment Bank recruitment
The person will be responsible for the firm’s surveillance program with respect to all sales and trading activity across equities, listed options, convertible bonds, and high yield credit products (“Trading Products”).
Responsibilities include developing compliance and supervisory policies and procedures for Trading Products, performing daily; weekly; monthly; and quarterly reviews of sales and trading activity for compliance with FINRA and SEC rules, and responding to regulatory inquiries. This role requires a self starter capable of monitoring regulatory developments, evaluating large amounts of data, identifying possible issues, investigating the issues, and escalating for resolution where appropriate.
The Senior Compliance Officer - Products will advise the Regulatory Control Group on regulatory and supervisory matters. This role also requires interaction with the firm’s sales and trading professionals and supervisors. Finally, the Senior Compliance Officer-Products will manage compliance projects related to sales and trading. This will involve developing solutions, organizing and tracking projects, maintaining priorities, setting and collecting deadlines, and driving projects to conclusion.
Qualifications:
- BA/BS Degree Required
• Prior regulatory experience or a J.D. degree is preferred
• Candidate must have a high degree of energy and initiative and be a team player
• Strong analytical and problem-solving skills are required, with the ability to exercise sound and balanced judgment coupled with a professional and detail-oriented demeanor
- Respond to a wide range of compliance questions from business lines
- Lead the process of publishing Compliance Alerts, Compliance Manuals and Supervisory Manuals
- Series 7 license required
- Ability to learn and adapt to relevant trading and back-office systems
- Prior involvement in the creation and maintenance of compliance programs/manuals preferred
- Good interpersonal skills, excellent written and oral communication skills
- Familiarity with Mantas
- Prior industry experience with another broker/dealer is essential
To apply please submit your resume to Jack Kelly – Jkelly@compliancesearch.com