Compliance
Job Description:
About the job
The Compliance Associate/Officer will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state regulatory requirements and regulatory best practices. With a diverse team of Compliance professionals supporting all areas of our business, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to their challenges.
The Compliance function has a robust set of priorities focused on best practices and employee development to ensure goals are delivered.
Responsibilities
Monitor trading activities to ensure compliance with relevant regulations, laws, and policies.
Collaborate with traders to ensure that all trades are executed in compliance with regulatory requirements and internal policies
Develop and implement policies and procedures to ensure compliance with regulatory requirements
Provide training and guidance to internal stakeholders on regulatory requirements and internal policies
Conduct compliance risk assessments and audits of internal policies
Investigate and resolve compliance issues and escalate, as necessary
Keep abreast of changes to regulatory requirements and make necessary updates to internal policies and procedures
Interface with external regulatory bodies and respond to regulatory inquiries and requests for information
Requirements:
Requirements- Bachelor’s degree in Business Administration, Finance, Legal, or related field
- 2+ years of experience in public equities trading compliance
- Series 7 required, Series 24 preferred or attained upon hiring
- Strong knowledge of FINRA and SEC rules and regulations related to public equities trading
- Experience using Trillium software for trade compliance management
- Experience developing and implementing public equities trading compliance policies and procedures
- Excellent written and verbal communication skills
- Ability to work independently and as part of a cross-functional team
