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Institutional Equities S&T Compliance - Business Side
at Compliance Search Group in New York, NY
Equities Capital Markets Institutional & Proprietary Sales & Trading
Regulatory Control Group: Sr. Level Officer
Reports to the Business Side Greater NYC Area $$$ Open DOE
5 – 10 yrs. Experience - Institutional Equities Compliance Sales & Trading
RESPONSIBILITIES
Front Office position located on the Sales & Trading Desk, reports to Co-Head of
Regulatory Control Group
Assist with the identification of specific regulatory issues, the application of regulatory requirements, provision of advice on these rules and internal policies, etc.
Communicate regulatory changes to the business and participate in drawing-up/amending existing policies and procedures.
Liaise with external counsel, regulators and colleagues, both within the Department and the Compliance group, as well as other support functions.
Providing real time trading advice and support to the firm's equities sales & trading group.
Provide real time advice to the equities traders on regulatory requirements.
Review surveillance reports and address findings with individual traders.
Review daily, weekly and monthly exception reports.
Help train Junior Staff & Business People
QUALIFICATIONS
• Proficient in equities trading rules: short sales, error account usage, as well as general regulatory requirements (order marking, books and records etc.)
• Knowledge of how trading works regarding the handling of customer orders and the ability to resolve trading issues on a real time basis
• Must be able to work well under pressure in a fast paced environment and be able to respond to trader questions immediately.
• Individual must be organized and articulate.
• Must have knowledge of how the business works from a regulatory, as well as, "practical" perspective.
• In addition, the appropriate candidate must have an affinity towards technology and be able to liaise with IT on improving and automating regulatory requirements.
Contact: Michael Tuller – mtuller@compliancesearch.com / 212-997-3163
Regulatory Control Group: Sr. Level Officer
Reports to the Business Side Greater NYC Area $$$ Open DOE
5 – 10 yrs. Experience - Institutional Equities Compliance Sales & Trading
RESPONSIBILITIES
Front Office position located on the Sales & Trading Desk, reports to Co-Head of
Regulatory Control Group
Assist with the identification of specific regulatory issues, the application of regulatory requirements, provision of advice on these rules and internal policies, etc.
Communicate regulatory changes to the business and participate in drawing-up/amending existing policies and procedures.
Liaise with external counsel, regulators and colleagues, both within the Department and the Compliance group, as well as other support functions.
Providing real time trading advice and support to the firm's equities sales & trading group.
Provide real time advice to the equities traders on regulatory requirements.
Review surveillance reports and address findings with individual traders.
Review daily, weekly and monthly exception reports.
Help train Junior Staff & Business People
QUALIFICATIONS
• Proficient in equities trading rules: short sales, error account usage, as well as general regulatory requirements (order marking, books and records etc.)
• Knowledge of how trading works regarding the handling of customer orders and the ability to resolve trading issues on a real time basis
• Must be able to work well under pressure in a fast paced environment and be able to respond to trader questions immediately.
• Individual must be organized and articulate.
• Must have knowledge of how the business works from a regulatory, as well as, "practical" perspective.
• In addition, the appropriate candidate must have an affinity towards technology and be able to liaise with IT on improving and automating regulatory requirements.
Contact: Michael Tuller – mtuller@compliancesearch.com / 212-997-3163
Published at 19-07-2010
Viewed: 11 times
Viewed: 11 times