$180K — $200K + $45K — $50K bonus
Position Summary The Compliance Technology Group is responsible for the creation, maintenance, and support of technology-based tools that enable the firm to monitor, enforce, and enable compliance with the rules and regulations that are mandated by securities industry regulators. Specific areas of focus include firm, customer and employee trade surveillance, industry licensing, continuing education, quarterly and annual employee disclosures and certifications, and the management of confidential material non-public information (MNPI).
The successful candidate for the Compliance Portal Development Manager position will be a hands-on applications development manager responsible for a team of onshore and offshore developers and production support staff responsible for the creation and maintenance of web-based compliance applications, windows applications and back-end database reporting. The portal development manager must have the ability for forge close working relationships with senior members of the Compliance Department, possess excellent problem-solving skills, and proactively identify opportunities for enhancements that will result in meaningful improvements to the workflows of the Compliance Department.
Educational Background BA, BS Minimum – Technology or Finance related degree.
Previous Work Experience Minimum 10 years of experience in Applications Development & Business Analysis with a minimum of 3 years as a hands-on development team manager/lead with a track record of on-time/on-budget delivery
Business Knowledge Programmer/Analyst with proven implementation track record of financial and/or compliance applications for first or second tier Financial Institutions. Knowledge of compliance and broker/dealer regulatory requirements. Experience with trade flows, asset management, investment banking, and syndication, will be an advantage for the appropriate candidate. Experience with Broker/Dealer Control Room systems and work flows a major plus.
Ideal candidate should have knowledge of the functional areas of compliance, investment banking, and trading systems.
Technical Knowledge Good understanding of technical architecture, especially in the areas of application and system integration.
Application Development: C#, .NET 4.0, Visual Studio, relational database design and development with SQL Server, SSRS, SSIS. Knowledge of Object-Oriented Design Principals in .NET
Experience with TFS, web services, ASP.Net, or WCF, knowledge of WinForms and/or WPF.
Salesforce experience is desirable: knowledge of the Lightning component, Lightning Life cycle, event propagation, Apex development, triggers, handlers, and classes.
Other Skills Required Excellent relationship management and communication skills.
Ability to present issues, status and progress to management in an intelligible, concise manner and to articulate issues and alternatives towards issue resolution.
Good team management, motivational, and mentoring skills with the ability translate complex business requirements into achievable and maintainable technical solutions.
Good analytical and writing skills, ability to understand the needs of business organizations, ability to incorporate feedback, and attention to detail.
Valid through: 10/8/2020