VP
As a senior leader within the Equities Compliance Team you will be responsible for managing compliance, supervisory and surveillance programs for all equities trading business (supporting 35 traders).
- Establish, enforce and maintain the supervisory program
- Using your strong knowledge of equities trading, proprietary trading models and order handling protocols you will provide guidance to the business on market structure.
- Provide compliance support in conducting the 3012 and 3013 process reviews as well as the Market Access Rule 15c3-5.
- Manage business and technology development projects to ensure that the work product is compliant with applicable securities rules and regulations;
- Developing and maintain strong working relationships with the business and IT groups; tracking project status; and documenting testing plans and results.
- Conduct Equities Surveillance/Supervisory reviews if appropriate
- Provide guidance and oversight into the informational barriers and aggregation units established at the firm as they relate to equities and develop supervisory procedures as appropriate.
- Provide compliance guidance and support to new business initiatives impacting the equities business.
- Stay abreast of rule changes impacting the firm's businesses and provide the firm insight and guidance on proposals, pending rules and regulations.
- Supervise two junior Compliance Officers
Required Experience:
- BA or BS degree required
- Series 7 24 required; Series 55 registration preferred
- 7+ years compliance experience or equivalent
- Strong verbal and written communication skills communications
- Ability to effectively and proactively communicate with persons of any professional level
- Ability to understand, synthesize and communicate urgent information
- Ability and experience in identifying regulatory issues and management reporting
- Ability to multi-task and prioritize
- Ability to take initiative and assume responsibility
- Strong work ethic and commitment to Firm and Department
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