- Lead the development and implementation of policies and procedures related to the various compliance areas of oversight in alignment with applicable laws and regulations.
- Develop, monitor, and revise the firm’s compliance initiatives in response to changes in the law.
- Plan, facilitate and supervise execution of all necessary testing and certification of the firm’s supervisory policies and procedures, including completion of any associated remediation.
- Responsible for firm AML policies and procedures, and coordination of all reports of suspicious activity, responded to Section 314(a) requests, and coordination of the regular review of the program by third-party auditors.
- Implement and maintain firm’s surveillance and monitoring program including pre-trade and post-trade surveillance, outside business activities, personal trading policies, and electronic communications.
- Collaborated with third-party audit provider to implement the firm’s first audit committee and corporate governance program.
- Provide real-time and long-term compliance advisory coverage for the Equity Trading including Legal, Risk Management, and IT, from the trading floor.
- Actively engaged with and acted as the point of contact for regulators, auditors, and third-party due diligence partners, demonstrating deep knowledge of the regulations as they apply to the firm’s business, products and services.
- Respond to all regulatory inquiries from the SEC, FINRA, NFA and other regulatory authorities.