Responsibilities will include:
Managing the local compliance program for this business area in a manner designed to meet regulatory requirements and industry best practices.
Identifying regulatory trends and developments, advising business staff as to how their current activities may be impacted, and working with supervisors to implement any required changes to current policy / practice.
Providing real-time advice on sales and trading issues.
Performing periodic risk assessments and gap analyses.
Drafting and updating policies and procedures.
Supporting the development of trade surveillance reports.
Participating in internal investigations, responding to regulatory inquiries, and coordinating internal and external audits and regulatory inquiries.
Interacting with regulatory agencies and exchanges.
Providing regulatory/compliance training as needed.
Level of skills, abilities and knowledge:
3-4 years of compliance or regulatory experience, preferably with a federal regulator or self-regulatory organization, or in a trading environment, risk management function, or law firm.
Bachelor’s degree; JD a plus
Strong knowledge of SEC and FINRA rules and regulations.
Excellent oral and written communication skills.
Ability to project confidence and professionalism in all dealings with business personnel.
Ability to make, support and defend difficult and complex regulatory/compliance decisions in fast-paced trading floor environment