Apply for the VP Compliance – Global Equity Derivatives position
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Broker dealer located in Midtown Manhattan looking to bring on board a “VP Compliance – Global Equity Derivatives” to join their team. This role is currently in a hybrid schedule (3 days in office / week).
Responsibilities:
*Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
*Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities.
*Maintain and Oversee the Firm’s Equity Derivative Trading activities
*Assist with creation of Structured Products documentation.
*Assist the business on implementing and documenting various supervisory/control mechanisms.
*Assist the business on drafting, updating, and implement relevant policies and procedures.
*Provide regulatory/compliance training.
*Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
*Interact with federal and state regulators
*Perform testing and monitoring of compliance with firm policies for covered business areas
*Conduct compliance risk assessments to ensure effective business control framework
*Analyze new regulations and conduct business-based analysis and execute requite implementation.
*Provide ongoing reporting to senior management
*Develop and deliver proactive strategies and tactics that support compliance/business objectives