EXTERNAL CLIENT ROLE
- Advising business personnel on Firm policies and regulatory matters related to cash equities (including market making), electronic, listed and over the counter derivatives, and syndicate products and services.
- Developing and implementing policies, procedures and controls which successfully mitigate key risk factors for all covered business lines and conduct related monitoring.
- Proactive identification of issues impacting coverage areas through participation in business, industry and regulatory initiatives.
- Assist with the development of surveillance and controls reasonably designed to detect and mitigate compliance issues.
- Assist with the resolution of issues identified from surveillance and other oversight functions (i.e., Internal Audit)
Investigate and assist with responses to regulatory inquiries and examinations
- Special Projects (including but not limited to aspects of Regulatory Compliance Management implementation).
- BA/BS, MA, or MS or equivalent with a detailed and thorough understanding of Capital Markets. Advanced degrees a plus. Minimum 3-6 years of capital markets desk advisory experience.
- Proficient in Microsoft Word, Microsoft Office, Microsoft Excel, and PowerPoint.
- Adaptable to a dynamic work environment with multiple priorities and strict timelines
- Organize workload and prioritize for responsiveness and efficiency both individually and for the team
- Collaborate and manage medium to large projects across various teams
- Work independently and adapt to changing and competing priorities
- Strong written and oral communication skills.
- Experience in compliance, consulting, operational risk, IT systems security, business process management, or financial services.
- Series 7 & 63 licensed