Executive Director – Compliance Officer – Equity Derivatives

Full Time

Broker Dealer Client

Office Status: Hybrid (2 days per week in office)

Responsibilities:

  • Assist in the administration of compliance programs for the Americas
  • Monitor certain business activities and employee investments
  • Conduct trade surveillance and other reviews
  • Arrange for the registration and continuing education of personnel
  • Advise on the application of laws and regulations
  • Provide support to management and supervisory personnel in coordinating the supervisory system and promoting a strong compliance culture.
  • Provide compliance support to the global markets businesses and interacts with compliance colleagues globally on a variety of issues and works closely with other support functions.
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