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Equities Trading Desk Compliance – Investment Bank. Associate /Vice President
at Compliance Search Group in New York, NY
Top-tier investment bank seeks a Compliance professional to sit on the equities trading desk.
Summary
He/she will provide coverage support to institutional sales, trading, and capital markets relative to product areas including equities, fixed income, currencies, and commodities.
The Compliance professional will also work closely with other departments such as Controllers, Credit, Information Technology, Internal Audit and Legal.
Principal Responsibilities:
Covering marketing, sales and trading personnel.
Responsibilities include:
• Providing advice on general trading rules and regulations and advising on real time trading issues
• Advising and coordinating with Technology and assist with new desk initiatives.
• Developing and drafting compliance policies and procedures, outlining Firm policies, regulations and best practices
• Creating and implementing compliance training programs for business unit professionals
• Interacting with regulators and industry groups to analyze rule changes and formulate practical solutions to industry-wide issues
• Participating in regulatory and internal investigations and audits
Experience/Skills:
2-4 years Compliance/Legal/Regulatory background
Strong knowledge of general trading rules/regulations (NYSE, Nasdaq, Options)
Strong analytical skills required
Effective communication skills
Ability to handle multiple tasks simultaneously and work under pressure
Algorithmic trading knowledge a plus
Please email resumes to Jack Kelly - JKelly@ComplianceSearch.com
Summary
He/she will provide coverage support to institutional sales, trading, and capital markets relative to product areas including equities, fixed income, currencies, and commodities.
The Compliance professional will also work closely with other departments such as Controllers, Credit, Information Technology, Internal Audit and Legal.
Principal Responsibilities:
Covering marketing, sales and trading personnel.
Responsibilities include:
• Providing advice on general trading rules and regulations and advising on real time trading issues
• Advising and coordinating with Technology and assist with new desk initiatives.
• Developing and drafting compliance policies and procedures, outlining Firm policies, regulations and best practices
• Creating and implementing compliance training programs for business unit professionals
• Interacting with regulators and industry groups to analyze rule changes and formulate practical solutions to industry-wide issues
• Participating in regulatory and internal investigations and audits
Experience/Skills:
2-4 years Compliance/Legal/Regulatory background
Strong knowledge of general trading rules/regulations (NYSE, Nasdaq, Options)
Strong analytical skills required
Effective communication skills
Ability to handle multiple tasks simultaneously and work under pressure
Algorithmic trading knowledge a plus
Please email resumes to Jack Kelly - JKelly@ComplianceSearch.com
Published at 06-07-2010
Viewed: 5 times
Viewed: 5 times