Location: New York, New York, United States
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Provide compliance support to the
broker dealer across all its businesses, with specific focus on automated
trading strategies. The successful candidates will be responsible for daily
support, drafting written supervisory procedures, surveillance report development,
reviewing surveillance reports, issue identification and the ability to offer
pragmatic solutions to monitor/prevent issues. Candidates should demonstrate an
entrepreneurial drive, and should also be thinking strategically for their
respective coverage areas.
- Specific responsibility for assisting the CCO with
developing and administering a compliance program around automated
- Demonstrate microstructure
knowledge of how markets work, issues residing in the markets and be able
to speak of the impact they have had on their business counterparts.
- Provide compliance advice
relative to the equities, options and futures business.
- Conduct surveillance reviews,
draft supervisory procedures, respond to regulatory inquiries for all
- Interface with securities
regulators and examiners.
- Build deep and trusting
relationships with coverage areas and counterparts in other supporting
roles (legal, ops etc.).
- Be energetic and passionate
about digging into the details, demonstrate a thirst for knowledge and
- Build out compliance programs
around new businesses.
- Relevant compliance experience
to automated trading strategies.
attitude toward solving problems.
- Series 7, 4 and 24 preferred.