New York Categories:
Legal/Compliance - Compliance Manager Liquidnet Holdings
THIS JOB HAS EXPIRED
Sitting on the Trading Desk and reporting to the Chief Compliance Officer, this highly visible role encompasses all areas of compliance within Securities Trading and other business lines. We are seeking someone with a proven track record of building and leading compliance programs, established industry relationships and broad industry knowledge across multiple product areas.Responsibilities
Serve as Compliance Generalist for the New York office.
Establish action plans and risk assessments.
Counsel business partners on new and proposed rules / rule interpretation; design and deliver targeted training to business personnel.
Continuously perform reviews on existing policies and procedures; enhance and maintain written supervisory procedural manuals for assigned business units; Conduct high level, broad risk analysis.
Draft and publish Compliance Alerts and routinely address trading personnel on Compliance matters.
Respond to external regulatory agencies with regard to annual exams and inquiries; providing final review and subject matter expertise.
Advise business managers on regulatory activities, and perform analyses on trader performance.
Remain informed regarding developments with respect to market structure, relevant regulatory requirements and changes arising through formal rule proposals or interpretations.
Provide advice and develop appropriate Compliance/supervisory infrastructure support of new product initiatives.
Review and monitor employee trading activity.
Skills/Requirements
Bachelor?s Degree in Business Administration or related field required.
Minimum 5 years? experience on the Trading Desk, advising trading personnel on rules and responsibilities.
Compliance experience with equity trading and capital markets transactions a must.
Experience with FINRA/SEC preferred.
Excellent oral and written communication skills; ability to draft regulatory responses.
Experience establishing compliance processes and drafting compliance procedures.
Solid understanding of technology in the regulatory process.
Ability to become expert on new and changing regulations.
Background in Canadian regulations is not required, but must be willing and able to develop this expertise
Law degree or master?s degree a plus.
Series 7 and/or 24 licenses a plus.
| Location: | 498 Seventh Avenue 12th Floor New York, NY 10018 United States |
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THIS JOB HAS EXPIRED
Liquidnet Holdings
Investors: Summit Partners, Technology Crossover VenturesAll Jobs: at Liquidnet Holdings
| Web Site: | www.liquidnet.com |
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| Headquarters: | 498 Seventh Avenue 12th Floor New York, NY 10018 United States |
| Industry: | Financial Services |
