Broker Dealer Compliance

New York, New York, United States

Ref#: POS-2054

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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.

Role Responsibilities:


  • Specific responsibility for assisting the CCO with developing and administering a compliance program around automated trading.
  • 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 businesses.
  • 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 learning.
  • Build out compliance programs around new businesses.

Requirements Include:

  • Relevant compliance experience to automated trading strategies.
  • Entrepreneurial/pragmatic attitude toward solving problems.
  • Series 7, 4 and 24 preferred.

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