Real Time Trading Floor Compliance Officer - VP - Compliance Search Group (New York, NY)
Top-tier investment bank seeks a Real Time Trading Floor Compliance Officer – VP to:
• Provide senior compliance advisory coverage to Institutional Equities Sales & Trading desks, with a focus on the following primary coverage areas: Sales, Sales Trading, Cash (Single-stock and Programs), ETF/Index, Electronic (Algos, DMA, and ATS), Special Situations, Market making / High frequency, and International.
• Interface with Senior members of the business on real-time issues to ensure that trading practices remain compliant with existing regulatory requirements
• Manage implementation of new regulatory initiatives and develop and implement written policies and procedures to ensure compliance with applicable Federal and SRO regulations
• Assist with annual regulatory examinations and responding to regulatory inquiries and investigations pertaining to trading matters
• Conduct training on relevant regulatory matters for business units
• Interface with other Compliance teams to provide proper coverage depending on product area
• Provide leadership/mentoring to junior members of the team
• Bachelors Degree
• 7+ years Compliance/SRO experience, with at least 5 years working in a trading floor environment.
• Advanced Degree(s)
• Series 7, 55 and 24 preferred (will be expected to complete)
• Post ID: 37108156 newyork