Financial Services Client
Office Status: Hybrid (3-4 days per week in office)
Salary: $150,000 – $225,000
Responsibilities:
- Provide compliance support for Equity & Options Trading
- Developing written policies and procedures, with review and testing of existing procedures
- Provide advisory related to electronic non-discretionary trading Risk and IT on regulatory guidance and rules.
- Working with the global surveillance function,
- Acting as a point of contact for the business on matters relating to conduct compliance, employee compliance training
- Monitoring the regulatory horizons for requirements that will impact.
- Drafting and maintaining management information, internal briefings, processes, and procedures documentation.
- Rulebook and product reviews
- Regulatory reporting
- Collaboration with the Legal Team and advising businesses from a compliance/regulatory perspective.