VP-Compliance Manager

New York, NY

Posted: 08/30/2018 Industry: FIN Perm Job Number: 11238059
Overview:
Jobholder will work as part of the Compliance team reporting to the CCO of the Broker Dealer. The focus of the role will be primarily covering trading activity for multiple equity and fixed income trading desks at the Firm.
Key Responsibilities:
  • Review daily trade activity/exception reports related to the activities of the Equity and Fixed Income Trading Desks.
  • Assist in pulling the necessary information for regulatory reviews, audits and other examinations
  • Interact with Regulators and track all regulatory requests.
  • Coordinate regulatory calls and on-site examinations.
  • Review and take action with regard to any regulatory trade reporting issues.
  • Candidate must demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision.
  • Work closely with various internal departments including IT, Operations, Compliance and Legal.
  • Communicate with traders and supervisors to assess risk and remediate issues.
  • Candidate should be proficient in time management and able to initiate and manage projects.
  • Actively monitor regulatory developments and trends working with Compliance, and taking appropriate action to ensure the business unit complies with new or amended regulations.
  • Interact with technology support and risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation.
  • Ability to convey Compliance requirements and Business changes to Senior Management.
Qualifications:
  • Knowledge of fixed income, treasury, and equities markets regulations including but not limited to TRACE, RTRS, OATS, ORF, TRF, ACT, Reg SHO, Reg NMS, Best Execution, Rule 605, Rule 606, Limit Order Display, Net Trading, Client Firm Gateway, etc.
  • Minimum 5 experience at a broker-dealer or regulator preferred
  • Excellent organizational and communication skills
  • Fidessa experience preferred, but not required
  • Series 7, 55, 57, 63, 24 preferred, but not required

Nick LaPetina

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