Senior Compliance Manager
This department seeks a qualified individual to serve as a Senior Compliance Manager, located in either the St. Louis or Tempe offices, to provide compliance support for the firm's Equity Trading area.
- Partner closely with the Equity Trading area to provide timely advice and guidance to ensure the firm's equity trading and related operational practices are compliant with applicable laws, regulations and internal policies and procedures.
- Interpret and apply existing, new and proposed laws, industry rules and best practices that affect the Equity Trading, Research and Operations areas, both in a Broker-Dealer and an Investment Advisory context.
- Design and perform oversight reviews of the Equity Trading area, including processes, policies and procedures.
- Function as the horizon expert with regard to equity markets from a compliance perspective.
- Foster training, education and communication programs relative to the Equity Trading area.
- Bachelor's degree preferred
- Series 7 is required. Series 57, 66, 9, 10 and 24 must be obtained within 12 months of hire if not already held
- Minimum of five years of securities industry experience, with at least 3 years in a compliance capacity or similar experience; significant equity trading experience preferred
- Knowledge of equity trading policies and procedures, as well as related industry rules and regulations
- Understanding and broad knowledge of investment products and services
- Strong analytical skills
- Excellent verbal and written communication skills
- Self-starter, highly motivated and a team player with exceptional relationship-building skills