EXTERNAL CLIENT ROLE
• Conduct the daily trade surveillance and handle inquiries from various equities/options trading business units throughout the firm to assure compliance with applicable laws, regulations and firm policies
• Handle the different reporting such as CAT/OATS etc.
• Draft and update policies and procedures that reflect changes in business, regulation, and developing views on issues
• Review and approve the promotion materials.
• Perform AML/compliance job functions which include but not limit to OFAC screening, clients on-boarding
• Oversee risk-based-monitoring, communications review and help the firm meet other compliance requirements
• At the direction of the CCO, participate in the annual compliance risk assessment including the implementation of corrective action plans.
• Work closely with the internal group on initiatives as necessary
Skills and Requirements
• Bachelor’s degree or higher
• Specific knowledge of equity markets and applicable exchange rules is required
• 5+ years of Equities compliance experience at an in-house broker-dealer Compliance Department,
• Experience in retail broker deals preferred
• A strong work ethic and the ability to work well with others
• Excellent written, verbal and analytical thinking skills
• Aptitude for technical matters
• Ability to manage multiple tasks simultaneously
• Series 7 and Series 24 preferred