Vice President, Equity Sales & Trading Compliance Officer

Full Time

Financial Services Client

Office Status: Hybrid (3 days per week in office)

Responsibilities:

  • Provide Compliance support for Equity Sales & Trading, as well as support functions: IT, Risk, Operations, Controllers, Finance.
  • Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory guidance and rules.
  • Communicate with traders, sales traders, salespersons, and supervisors to assess risk and remediate issues.
  • Assist in the design and maintenance of compliance manuals, notices and written supervisory procedures.
  • Assist in regulatory reviews, including inquiries, audits, and exams.
  • Design and deliver applicable training for business unit personnel.
  • Actively monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new or amended regulations.
  • Interact with technology support and risk management to ensure technology and business practices remain compliant with Firm policies and industry requirements.
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