Trading Compliance Officer

New York, NY

Posted: 02/20/2019 Industry: FIN Perm Job Number: 11893734
  • Identifying compliance risks associated with the business practices, products and services
  • Advising the business, technology and operations groups concerning compliance issues and requirements for equity and options trading and institutional sales related to agency trading, block facilitation, global program/algorithmic trading, direct market access, and trade reporting (OATS, CAT, blue sheets, LOPR, etc.)
  • Developing, modifying and implementing automated compliance and surveillance tests
  • Performing or overseeing ongoing compliance reviews and testing of the US cash and algorithmic equity and options trading desks and the related technology and operations
  • Responding to regulatory inquires including coordinating on-site examinations by various regulatory agencies
  • Providing guidance to the clearing and back office operations
  • Developing, maintaining and implementing supervisory policies, procedures and compliance manuals for the firm's institutional research business
  • Involvement in global initiatives
  • Participating in various management, compliance and risk committees
  • Bachelor's degree (or equivalent) with 5-7+ years' experience in securities compliance and/or legal experience in securities compliance, with an emphasis on equity and options trading (both high and low touch)
    • Specific experience on an Options desk is preferable
    • Experience in institutional research and sales, global securities markets regulations, and clearance is preferrable
    • Knowledge of middle and back office operations and private wealth management services is a plus
  • Fluent with current Client issues and concerns related to equity and options trading
  • Working knowledge of Client, SEC, Exchange rulesPreferred Qualifications
  • Current Series 7 and 24 qualifications (or able to complete them within one year)

Nick LaPetina

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