VP, Trading Compliance Officer

Full Time

Madison-Davis Client


  • Primary responsibility is to assist in the maintenance of an effective trading compliance program though risk management, monitoring and surveillance of trading and sales activities.
  • Work closely with International Trading Group, Cash Equities, Options, and Fixed Income Trade Desks, acting as a resource for education and training as well as conducting daily monitoring.
  • Be an active part of the Firm’s anti-money laundering compliance program in conducting trade surveillance and the monitoring for suspicious activity.
  • Work with Head of Trading Compliance to maintain current Firm written supervisory procedures and enhance as applicable.
  • Respond to real-time inquiries from traders, salespersons, technology personnel and management.
  • Ensure that the trade management system is operating effectively and accurately addressing compliance issues.
  • Monitoring of trade activity through daily review of trading compliance reports, and periodic forensic testing.
  • Experience with Fidessa and Nasdaq Smarts a plus.

Job Requirements:

  • BA or BS degree required
  • Strong verbal and written communication skills communications
  • Ability to effectively and proactively communicate with persons of any professional level
  • Ability to understand, synthesize and communicate urgent information
  • Ability and experience in identifying regulatory issues and management reporting
  • Ability to multi-task and prioritize
  • Series 7, 24 and 57
  • Equities Trading Compliance experience required.
  • 5 years+ compliance experience
  • The ideal candidate will have a background in trade surveillance and/or have a FINRA or SEC background in the trade surveillance or trading exams areas.
  • Ability to take initiative and assume responsibility
  • Strong work ethic and commitment to Firm and Department

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