Director Of Electronic Trading Compliance

Full Time

Financial Services Client

Office Status: Hybrid (6-7 days per month in office)

Salary: $225,000

Responsibilities:

  • Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
  • Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.
  • Maintain and Oversee the Firm’s Electronic Trading activities
  • Assist the business on implementing and documenting various supervisory/control mechanisms.
  • Assist the business on drafting, updating, and implement relevant policies and procedures.
  • Provide regulatory/compliance training.
  • Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
  • Interact with federal and state regulators
  • Perform testing and monitoring of compliance with firm policies for covered business areas
  • Conduct compliance risk assessments to ensure effective business control framework
  • Analyze new regulations and conduct business-based analysis and execute requite implementation.
  • Provide ongoing reporting to senior management
  • Develop and deliver proactive strategies and tactics that support compliance/business objectives
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