Senior Compliance Officer
The Senior Compliance Officer will conduct surveillance as well as test Policies and Procedures. This position requires an ability to independently evaluate a situation, exercise judgment and make a decision. This individual will need to identify and resolve problems in a timely manner by gathering and analyzing information skillfully.
• Conduct daily, other periodic and Ad Hoc surveillance including of Company wide, Trading Department, employee personal accounts and other activities
• Gather documents/information responsive to S.E.C. and CBOE, FINRA examination requests
• Resolve or recommend solutions to complex problems
• Conduct and analyze surveillance reviews to identify irregularities and ensure compliance with organizational and regulatory agency rules and regulations
• Alert management to current regulatory issues
• Monitor exception and other internal reports for employee adherence with rules and regulations
• Review various message systems including email communications
Trading and Other Specific Responsibilities Include:
• Real time monitoring, advice and support to Traders and Trading desk
• Advice to Traders on regulatory requirements including Regulation SHO (locates, mark tickets, tick test etc.)
• Activity monitoring and exception reporting
• Educate trading personnel on compliance procedures and new regulations
• Manage and amend "Written Supervisory Procedures" as and when necessary to conform to new business requirements and regulations.
• Research and provide guidance on new trading proposals and trading styles.
• Work with regulators on regulatory exams and managing routine regulatory inquiries
• 5 or more years FINRA Member Broker-Dealer tenure as a Compliance Officer for a firm who has an approved business of proprietary trading. May also consider Registered Investment Advisor (RIA), Private Bank or other compliance officer work experience; CSX, CBOE Member tenure preferred
• Bachelor's Degree
• Series 7, 24 licenses
• Series 55 licenses preferred
• Strong understanding of federal securities laws, with particular experience with and knowledge about the regulation of member broker-dealers by FINRA, CBOE including Anti-Money Laundering (AML) and USA Patriot Act
Other Required Skills
• Proficient in MS Excel, Word, and Outlook, preferred
• Strong research and organizational skills
• Extraordinary written and oral communication skills
• Ability to multi-task and adapt to shifting priorities
• Excellent interpersonal skills and an ability to work effectively with staff at all levels
This is a full-time permanent position. In addition to salary, the position will offer benefits that are available to all Company employees.
Competitive salary and benefits package
If this sounds like the right job for you, you can use the button below to submit your resume. Please attach resume in Word format preferably or send email with it attached.