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Institutional Sales and Trading Senior Compliance Officer
at Michael Lane in New York, NY
Duties
- Work with the Business Unit and the Compliance Advisory teams to establish and enhance the Supervisory and Compliance Oversight process, including supervisory manuals and related systems.
- Identify gaps and weaknesses and develop a corrective action plan to remediate them. Will take ownership of the remediation effort including report design, creation and implementation.
-Manage and communicate priorities among the Business Unit, IT, Operations, Compliance Advisory and Internal Audit.
-Work with IT to develop and enhance exception reports for Compliance and the Business. Will own this process from development through implementation.
-Work with Business Unit, Risk, Operations, Front and Back Office Technology, as well as Legal and Compliance Technology.
-Perform daily review of surveillance reports to detect possible violations of Rules, Regulations and Firm Policies.
-Research and respond to issues that may arise at the trading desk level regarding sales, trading, capital market questions.
-Perform research needed to respond to regulatory inquiries and examinations.
The candidate will then be required to become familiar with the day-to-day operations of the trading desks and will be required to interact with staff members by providing answers to questions that may arise.
Requirements
-- Must possess a good understanding and a working knowledge of the Compliance Surveillance Process and a basic knowledge of the rules and regulations.
-Must understand complex trading instruments such as structured/securitized products and derivatives.
-5A+ years of relevant Compliance or Regulatory experience.
-Should possess strong written and oral communication skills
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
- Work with the Business Unit and the Compliance Advisory teams to establish and enhance the Supervisory and Compliance Oversight process, including supervisory manuals and related systems.
- Identify gaps and weaknesses and develop a corrective action plan to remediate them. Will take ownership of the remediation effort including report design, creation and implementation.
-Manage and communicate priorities among the Business Unit, IT, Operations, Compliance Advisory and Internal Audit.
-Work with IT to develop and enhance exception reports for Compliance and the Business. Will own this process from development through implementation.
-Work with Business Unit, Risk, Operations, Front and Back Office Technology, as well as Legal and Compliance Technology.
-Perform daily review of surveillance reports to detect possible violations of Rules, Regulations and Firm Policies.
-Research and respond to issues that may arise at the trading desk level regarding sales, trading, capital market questions.
-Perform research needed to respond to regulatory inquiries and examinations.
The candidate will then be required to become familiar with the day-to-day operations of the trading desks and will be required to interact with staff members by providing answers to questions that may arise.
Requirements
-- Must possess a good understanding and a working knowledge of the Compliance Surveillance Process and a basic knowledge of the rules and regulations.
-Must understand complex trading instruments such as structured/securitized products and derivatives.
-5A+ years of relevant Compliance or Regulatory experience.
-Should possess strong written and oral communication skills
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Published at 14-07-2010
Viewed: 10 times
Viewed: 10 times