Senior Compliance Officer - Equity Capital Markets


Milwaukee, WI

Industry: Financial Services


5 - 7 years

Posted 265 days ago

  by    Jack Kelly

This job is no longer available.

Diversified Financial Services Firm is seeking a Senior Compliance Officer who will be primarily responsible for EquityTrading Compliance, including equity program/electronic trading. A successful individual will bring deep expertise of the rules and regulations related to the U.S. cash equities markets and electronic trading including FINRA, SEC, NYSE rules. The candidate must demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision.

As a Senior Compliance Officer on the Equity Capital Markets team, you will:

? Act as a resource and provide a high level of service to internal clients, providing interpretive advice as to the application of complex securities regulations to various business scenarios.

?Respond to inquiries from firm employees regarding compliance and equitytrading related issues.

? Analyze potential violations of securities regulations and/or firm policy and take appropriate remedial or corrective action.

? Review and analyze daily, monthly, and other periodic compliance reports and initiate corrective action as necessary.

? Analyze and draft responses to regulatory inquiries from the SEC, FINRA, and other regulators.

? Execute periodic testing of the firm?s Capital Markets processes.

? Review new rules to determine impact to supported businesses, amend policies/conduct training, and create additional surveillance reports as needed.

? Develop and deliver compliance training as needed.

? Perform other duties as assigned.

What makes this opportunity great:

? Unique culture that values diverse backgrounds and perspectives while emphasizing teamwork and a strong sense of partnership.

? Opportunity to work alongside Compliance professionals who are highly recognized and respected in our industry.

? Compliance roles involve a high degree of challenge. No work day will be the same due to expanding business and an ever changing regulatory environment.

What we look for:

? Ability to use, understand and compare large data sets.

? Exceptional analytical and investigative skills.

? High level of curiosity and comfort with the unfamiliar or unknown.

? Ability to effectively communicate orally or in writing within all levels of the organization.

? Minimum of 5-7years of EquityTrading Compliance experience.

? Knowledge of equities products and trade flows.

? Ability to work independently and apply judgment to resolve issues in a timely manner.

? Series 7, 24 and 57.

?Experiencewith Fidessa or Flextrade is a plus.

? Must be willing to travel (up to 10%).

Please email resumes to .

$100K - $130K