Financial Services Client
Office Status: Hybrid (3 days per week in office)
Salary: $160,000 – $200,000
- 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.