Senior Risk Compliance OfficerFinancial ServiesMUSTS-Institutional ComplianceJersey City, NJ-HYBRIDSeries 7/24$160-175 + Bonus, Great Benefits!Will assist with a relocation package!
The positionThe candidate will be an
integral part of the Compliance Department
and work with the various capital markets departments as well as interact with all levels of Firm management. The ideal candidate will be an experienced Compliance professional with a strong understanding of equity trading, options,
Prime Brokerage and securities lending . The candidate will need to be a self-starter and strong communicator.
What you will doWorking with assigned departments to help improve their policies and procedures. The candidate will be required to review and analyze current policies and procedures; identify, recommend, and implement new and/or enhanced practices related to updated regulatory initiatives and interpretations, new lines of business and changes in business activities.Provide support for regulatory reviews and internal reviews. assist in regulatory and internal reviews involving
securities lending, trade surveillance
and other related matters as needed.Ability to
assist in trade surveillance reviews, including daily trade activity, Rule 606 review , and Blue sheet filings. Knowledge of the
Nasdaq Trading System (NTS or Nasdaq Smarts)
a plus.In-depth knowledge of SEC and FINRA trading rules
and regulations as they pertain to broker-dealers. Knowledge and understanding of NFA regulations is a plus.Excellent written and verbal communication skills.Self-motivated and a collaborative problem solver.Ability to prioritize work and effectively prioritize multiple and conflicting deadlines
What you offer
Undergraduate Degree required. Graduate degree or additional industry certifications a plus7+ years of Compliance and Risk experience-Institutional ComplianceSpecific knowledge of
Institutional Trading, Consolidated
Audit Trail,
Securities Lending, Prime Brokerage required. Knowledge of the Futures Market a plusFINRA Series 7, and 24 required.
Series 3, 4, 57 and other exams a plus.Self-starter and collaborative problem solverProficient in responding to regulatory inquiries and the FINRA Gateway system
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