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Director, Prime Brokerage Compliance Advisor

  • Midtown Manhattan
  • Full Time

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Broker dealer located in Midtown Manhattan looking to bring on board an “Director, Prime Brokerage Compliance Advisor” to join their team. This role is currently in a hybrid capacity (3 days per week).

Responsibilities:

• Provide Compliance support to US Prime Brokerage business in developing appropriate controls and procedures to mitigate business and product specific regulatory risks
• Contribute to the development of the Prime Brokerage business control framework
• Advise on regulatory requirements related to Arranged Financing, Enhanced Leverage and Portfolio Margining programs
• Knowledge of regulations associated with Securities Prime Brokerage operations, including Regulation T, U, X and applicability of such regulations
• Partner with business and support functions to formalize plans for business expansion
• Interact with securities regulators and preparing applications required for regulatory approvals
• Work closely with Prime Brokerage Business Heads and Margin Control teams on the implementation of regulatory initiatives
• Train business and operations support teams on relevant rules and regulations
• Update Compliance policies and procedures to address current rules, regulations, and business model
• Assist in the responding to regulatory inquiries and regulatory examinations, audits and preparing compliance risk assessments