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Main Duties
 Provide line compliance advisory coverage to Institutional Equities Sales & Trading desks including the following coverage areas: Sales, Sales Trading, Cash (Single-stock and Programs), Agency, Electronic (Algos, DMA, and ATS), Event Driven, and Prop Trading.
 Interface with technology support to deal with real-time issues that affect live trading to ensure that trading practices remains compliant with existing regulatory requirements
 Assist with annual regulatory examinations and responding to regulatory inquiries and investigations pertaining to trading matters
 Develop and implement written policies and procedures to ensure compliance with applicable Federal and SRO regulations
 Conduct training on relevant regulatory matters for business units
 Assist with escalated surveillance exceptions and resolve with Surveillance Analysts and Supervisors
 Interface with other Compliance teams to provide proper coverage depending on product area

General Requirements
 3-6 years Compliance Department/SRO experience, with at least 3 years in Equities Compliance or Equities Surveillance
 4-year Undergraduate Degree
 Strong interpersonal and communication skills that will enable him/her to interact effectively with traders and associated management, technology, administrative staff and regulators
 Self-starter with strong organization skills
 Series 7, 55 and 24 preferred (will be expected to complete)

Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com

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Published at 05-03-2010
Viewed: 45 times