VP Regulatory Ops

New York, NY

Post Date: 07/31/2018 Job ID: 11056876 Industry: FIN Perm
Regulatory Operations

Job Description:
The Regulatory Operations professional will work within the Operations organization and cover a broad range of responsibilities. The Regulatory Operations role must also be able to demonstrate the ability to work effectively with employees at all levels, including senior management.

  • Analyze trade data within Microsoft Excel to provide oversight and ensure firm meets regulatory obligations
  • Establish Financial Controls/ Reconciliations Monitoring throughout organzation
  • Assist with regulatory inquiries and exams, including document and data retrieval
  • Collaborate with Compliance, Operations and SROs to identify and remediate gaps in policies and procedures to align with regulatory reporting obligations
  • Help train associated persons
  • Perform periodic enhanced reviews, specifically related to trade reporting
  • Strong time management skills are essential
  • Proactively look for solutions and corrective actions for specific findings and issues
  • Assist with branch and non-branch compliance reviews
  • Work on projects as assigned
  • Experience in cash equities, Middle Office or post trade support
  • Familiarity with Broker Dealer regulations, Blue Sheets, OATS, Consolidated Audit Trail, TRACE, Short interest
  • Minimum of 5 years relevant experience with a Broker Dealer
  • Experience with derivatives and fixed income trading a plus
  • Knowledge of Client, SEC and other regulatory rules and regulations
  • Solid verbal communication and presentation skills
  • Self-motivated, proactive and able to manage multiple priorities
  • Demonstrated analytical skills
  • Energetic, detail oriented and organized

Nick LaPetina

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