Position Purpose: This Senior Compliance position will report directly to the Deputy Chief Compliance Officer of Equities. The successful candidate will possess strong communication skills, superior writing skills and the ability to manage multiple tasks in a dynamic environment. The ideal candidate should have a solid understanding of the rules and regulations relevant to equities, options, and underwritings, with a minimum of 5 to 10years’ experience as a compliance officer at a FINRA registered broker dealer.
- Identifies and interprets SEC, FINRA and self-regulatory organization rules and regulations to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance
- Keeps abreast of new rules and regulations and how it affects the business activities of the firm to ensure firm policies and procedures are up to date.
- Works with all levels of management to ensure that appropriate supervisory processes and controls are established and documented within the areas of responsibility.
- Engage in proactive control testing of various products and coordinating with the business to implement corrective action accordingly.
- Assist on SFI’s best execution policies to include but not limit to SEC Rules 605 and 606 which include preparing, coordinating, and documenting the quarterly best ex meeting, comparing data for accuracy on our vendor S3 to our various OMS files, review the payment for order flow and fees are properly displayed, and working with the trading desk on and files that need to be provided for look through to BDs:
- Develops, communicates, and implements strategies, procedures and technology systems designed to enhance the firm’s compliance with applicable rules and regulations.
- Assist or lead on various compliance projects as needed; CAT Program, updating SFI Control procedures, WSPs, and Reg SHO reviews.
- This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.
- Bachelor’s degree in Finance, Accounting or other related field, preferred
- Series 7 and Series 24, preferred
- Highly organized with great attention to detail
- Proven communication, analytical and project management skills
- Strong relationship management and leadership skills are desired, including experience and ability in dealing with senior management
- Ability to reach sound judgments and act quickly under tight deadlines
- Experience in dealing with senior compliance and regulatory staff at the various exchanges and regulatory agencies
- Must be authorized to work in the US for any employer
- Participant in industry, regulatory and exchange panels, organizations and committees
Physical requirements/Working conditions:
- Climate controlled office environment
- Minimal physical requirements other than occasional light lifting of boxed materials
- Dynamic, time-sensitive environment