New job VP, Operations Compliance Oversight New York, NY

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: VP, Operations Compliance Oversight New York, NY Gerald Elliott posted a job: VP, Operations Compliance Oversight New York, NY "Top-tier financial services firm is seeking a Operations Compliance Officer who will have a two fold function in that they will assist the Director of Compliance for Operations in providing advisory services to the Operations Division as well as provide advice and guidance to the Operations Regulatory Control (ORC) area supporting trade and transaction reporting (i.e,OATS, OTS, ACT, Blue Sheets, TRACE). In addition, the Operations Compliance Officer advises the Middle and Back Operations Divisions on new business initiatives, reviews current operations for compliance with applicable policies, laws, and regulations and provides advice and guidance to Operations business units on a daily basis. The Operations Compliance Officer will also liaise with ORC and Information Technology, as well as Front Office Compliance, Sales and Trading. In addition, as required, the Operations Compliance group participates in creating and maintaining written compliance policies and procedures, and drafting written supervisory procedures in consultation with the business unit. Other Duties include: • Provide advice and guidance on Compliance issues to Operations Departments including but not limited to Institutional/Prime Broker Middle Office, Fixed Income, Equities & Operations Regulatory Control • Monitor day-to-day Compliance issues and escalate to the Management of Operations Compliance as necessary • Review and assist with the update of training programs • Assist the Operations Compliance Team in implementing and enforcing a detailed Compliance program • Responsible for the drafting, reviewing, and implementing of policies and procedures and written supervisory procedures for Middle and Back Office Operations Departments • Assist in the development of the quarterly reports to the Supervisory Control Person in order to comply with FINRA Rules 3012 and 3013 (CEO Certification Process) and SEC Rule 206(4)-7 • Interpret new and/or changing policies and procedures, and aid in the development of policies and procedures relating to trade and transaction reporting. Qualifications: Ø 6+ years relevant experience in compliance or regulatory functions Ø Must have project and process management experience Ø Knowledge of US Rulesand Regulations including but not limited to the SEC, FINRA, MSRB and FRB Ø Knowledge of regulatory reporting requirements, e.g., OATS, ACT, TRACE, MSRB, etc. Ø Strong working knowledge of Middle Office and Back Office Operations functions To apply please submit your resume to Info@compliancesearch.com"

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