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Senior Compliance Advisor – Equities Sales & Trading Desks
at The Compliance Search Group in New York, NY
Provide compliance advisory coverage to the following Institutional Equities Sales and Trading desks: Sales, Sales Trading, Cash (Market-Making, Single-Stock and Programs), Agency, Electronic (Algos and DMA), Event Driven and Proprietary Trading.
Key Accountabilities:
1) Provide real-time ad hoc corrective actions and compliance advisory oversight for all Institutional Equities Sales and Trading businesses.
2) Evaluate and assess current surveillances and exception reports for Institutional Equities Sales and Trading activity.
3) Keep abreast of regulatory and market structure changes that may affect trading practices or necessitate the development of new surveillances.
4) Keep abreast of new internal trading systems and client product offerings to ensure compliance with federal and state securities laws as well as development of effective surveillance tools.
5) Work with trading technology and business supervisors to test surveillance reports to ensure continuous redundancy and integrity.
6) Assist with escalated surveillance exceptions and resolve with Regulatory Risk.
Job Requirements:
• BA, MA or MS or equivalent preferred with a detailed understanding of Equity Capital Markets
• Proficient in Microsoft Word, Microsoft Office and PowerPoint
• Strong written and oral communication skills
• Minimum 5 years experience
• Series 7, 55 and 63 licenses
To apply please submit your resume to Jack Kelly- JKelly@ComplianceSearch.com
Key Accountabilities:
1) Provide real-time ad hoc corrective actions and compliance advisory oversight for all Institutional Equities Sales and Trading businesses.
2) Evaluate and assess current surveillances and exception reports for Institutional Equities Sales and Trading activity.
3) Keep abreast of regulatory and market structure changes that may affect trading practices or necessitate the development of new surveillances.
4) Keep abreast of new internal trading systems and client product offerings to ensure compliance with federal and state securities laws as well as development of effective surveillance tools.
5) Work with trading technology and business supervisors to test surveillance reports to ensure continuous redundancy and integrity.
6) Assist with escalated surveillance exceptions and resolve with Regulatory Risk.
Job Requirements:
• BA, MA or MS or equivalent preferred with a detailed understanding of Equity Capital Markets
• Proficient in Microsoft Word, Microsoft Office and PowerPoint
• Strong written and oral communication skills
• Minimum 5 years experience
• Series 7, 55 and 63 licenses
To apply please submit your resume to Jack Kelly- JKelly@ComplianceSearch.com
Published at 23-03-2010
Viewed: 26 times
Viewed: 26 times