VP Securities Compliance Officer
Within this role you would advise on including trade reporting, underwriting, Rule 10b-18 buy back programs, Reg. SHO, securities lending, best execution, mark-ups/mark-downs, testing and monitoring.
You would be responsible for the following:
- Conduct surveillance of equity transactions for the market abuses and compliance with supervisory requirements.
- Advise on globally branded research issues including Rule 2711, Reg. AC, and developing appropriate disclosures and disclaimers.
- Advise on Rule 15a-6 and administer procedures controlling activities of foreign affiliates in the US.
- Advise on equity capitalmarket issues that involve 144A and Reg. S, private placements, prospectus delivery.
- Assist in running the Control Room by maintaining Watch and Restricted Lists, implement over-the-wall procedures, check for conflicts of interest, and monitor information barriers.
- Develop written supervisory procedures and training materials for staff.
- Perform general compliance duties including email review and monitor employee trading.
You will possess:
- At least 5 years of directly relevant broker dealer compliance experience.
- Strong knowledge of US securities laws and regulations including FINRA, SEC and the Securities Act of 1933 and Securities Exchange Act of 1934.
- Knowledge of broker dealer products and services, including equities, fixed income, structured products, investment banking, underwriting and MA.
- Series 7 or 79, and 24 preferred.
- Strong analytical skills and ablity to articulate regulatory guidance to staff and management.
- Strong interpersonal skills, ability to multi-task, self-starter, excellent organizational skills, high degree of attention to detail, and ability to work independently and within in a team environment.
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