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Job ID Number: 1255446112
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Hot Jobs |
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| Job Title: |
NASDAQ Trading Desk Compliance Officer |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Michael Lane |
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| Recruiter Email: |
MLane@ComplianceSearch.com |
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| Description: |
On a daily basis the trade surveillance manager supports Global Trading, Sales and Sale Trading, Research, Finance, and Stock Loan among other departments. This is done by reviewing a numerous exceptions reports. In addition the trade surveillance manager interfaces with the various departments on numerous trading issues and trade reports. This entails reporting to regulators, researching issues, interceding between different departments to explain trading issues and other regulatory situations to help promote cooperation between the various departments in order to get things accomplished.
Responsibilities Include:
• Advise applicable trading desk personnel and management with respect to Firm policy and procedures, relevant industry rules and regulations, and appropriate supervisory practices
• Ensure relevant trading desks make appropriate technology, business and supervisory modification related to regulatory/market place rules and regulations (e.g., ACT, OATS, OTS reporting for Equity Securities, etc.)
• Interface with technology support/business management for relevant trading desks to ensure trading technology/trading practices remains compliant with existing and proposed regulatory requirements
• Conduct surveillance activities related to covered trading desks / address reporting (TRACE/ACT/OATS) and other issues discovered and ensure adequate corrective action by supervisors are taken. Reviews for patterns and repeat violations.
• Assists in conducting firm-element training on relevant regulatory matters for trading areas of the firm, such as Annual Compliance Meetings and other Compliance training.
• Serves as the main compliance representative and point person on the annual FINRA TAMS review.
• Assists and manages portions of all other SRO examinations such as Sales practice examinations and annual FINOP examination.
• Reviews, investigates and responds to the majority of SRO Inquiries.
• Updates policies and procedures
• Chaperones and Monitor Research/Capital Markets communication
• Reviews taped telephone conversations of front office communications
• Educates trading personnel on upcoming and new regulation and how it may impact what the firm currently does.
• Researches customer trade issues
• Develops new ways to keep surveillance effective and robust
Daily Exception Reports: Reviewed and evidenced on a daily basis:
• Best Execution Price Adjustments
• Order Display Report
• Missed Manning Report
• Equity Trade Journals
• Rule 410b
• TRACE Reportable
• Reg S/Rule 144 Transaction Review
• Customer and Proprietary Short Sale Reports
• OATS repairs and maintenance
• Reviews Restricted and Watch List and related trading
• Reviews all Error reports to ensure that they are bonafide errors
• Conducts Unsolicited Pink Sheet review
Monthly or Quarterly Reviews:
• SEC Rule 605 & 606 reports, ensure correct data and timely publishing as required
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com |
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