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Senior Equities Compliance Officer
at Jack Kelly in Connecticut
The firm is recruiting for the position of Senior Equity Compliance
Officer for the Americas Region.
The individual will be primarily responsible for many aspects of guidance and rule implementation across the Equity Division, providing essential compliance services across the firm's cash and risk trading areas.
The role covers cash sales and trading, equity capital markets,
derivatives, proprietary trading, and structured products, among others.
The position also includes providing guidance in addressing regulatory and legal investigations.
He/she will also be involved with the following:
Provide day-to-day advisory / transactional support
Provide clear and articulate guidance
Facilitate robust dialog / advocacy within the industry and with all
relevant regulators, on behalf of the firm.
Implement or support the implementation of a program that regularly
reviews current business practices against the regulatory requirements
to ensure that discrepancies are identified and addressed proactively;
Implement an effective monitoring program designed to assess whether
the Firm's supervisory system is reasonably designed to deter and detect non-compliance with applicable regulations and firm policy.
Serve as an effective mechanism for the escalation and resolution of
issues.
Basic Qualifications Relevant skills and experience include equities
compliance experience; regulatory or in-house audit or examination
experience; firm or regulatory investigative experience.
Experience with trade surveillance and exception reports/vendor tools;
comprehensive technology and data-extraction experience preferred.
MBA or JD a plus.
3+ years experience
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Officer for the Americas Region.
The individual will be primarily responsible for many aspects of guidance and rule implementation across the Equity Division, providing essential compliance services across the firm's cash and risk trading areas.
The role covers cash sales and trading, equity capital markets,
derivatives, proprietary trading, and structured products, among others.
The position also includes providing guidance in addressing regulatory and legal investigations.
He/she will also be involved with the following:
Provide day-to-day advisory / transactional support
Provide clear and articulate guidance
Facilitate robust dialog / advocacy within the industry and with all
relevant regulators, on behalf of the firm.
Implement or support the implementation of a program that regularly
reviews current business practices against the regulatory requirements
to ensure that discrepancies are identified and addressed proactively;
Implement an effective monitoring program designed to assess whether
the Firm's supervisory system is reasonably designed to deter and detect non-compliance with applicable regulations and firm policy.
Serve as an effective mechanism for the escalation and resolution of
issues.
Basic Qualifications Relevant skills and experience include equities
compliance experience; regulatory or in-house audit or examination
experience; firm or regulatory investigative experience.
Experience with trade surveillance and exception reports/vendor tools;
comprehensive technology and data-extraction experience preferred.
MBA or JD a plus.
3+ years experience
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Published at 23-07-2010
Viewed: 6 times
Viewed: 6 times