Broker Dealer Compliance

New York, New York, United States

Ref#: POS-5768

Share with: Facebook LinkedIn Twitter Send to a friend

Provide compliance support to the broker dealer across all its businesses, with specific focus on wholesale market making and algorithmic trading. 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 be thinking strategically for their respective coverage areas.


Role Responsibilities:



  • Specific responsibility for assisting the CCO with developing and administering a compliance program around wholesale market making and algorithmic trading businesses.
  • 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 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:



  • 10 years of relevant compliance experience to automated trading strategies.
  • Substantial knowledge of Reg NMS, Reg SHO and other regulations relevant to automated trading businesses.
  • Entrepreneurial/pragmatic attitude toward solving problems.
  • Series 7 and 24 preferred.