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Job ID Number: 1258396816
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Trading Desk/Equity |
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| Job Title: |
Director- Equities Sales and Trading Compliance |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
A global investment bank seeks an Equities Sales and Trading Compliance officer.
RESPONSIBILITIES:
Provide compliance advice and guidance to business lines, firm management and compliance support.
• Train business line and compliance support staff on relevant rules and regulations.
• Update Compliance policies and procedures to be current with rules, regulations and business model.
• Respond to regulatory inquiries and manage regulatory examinations.
• This individual will supervise a staff of three and monitor the day to day activity of the staff, review Key Performance Indicators on a weekly basis.
• Responsible for quarterly permanent supervision
TECHNICAL SKILLS:
Required/Must have: In depth knowledge of equity sales and trading rules and regulations. Fixed income rules and regulations are a plus.
PRIOR WORK EXPERIENCE:
Required/Must have: 7+ years of equity trading compliance experience in a fast paced dynamic environment.
EDUCATION:
Required/Must have: Bachelor’s degree and Series 7, 8, 24
Desired/Plus: Series 4 and 14
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
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