New job Deputy Chief Regulatory Officer Chicago, IL

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Deputy Chief Regulatory Officer Chicago, IL Gerald Elliott posted a job: Deputy Chief Regulatory Officer Chicago, IL "Our client seeks a Deputy Chief Regulatory officer to assist the Chief Regulatory Officer in the administration of the surveillance, investigative and examination aspects of the regulatory program to enforce SEC and Exchange rules. Duties and Responsibilities: Performs a combination of the following duties according to departmental guidelines: * Oversee the administration of the Department of Market Regulation, Department of Member Firm Regulation and ORSA (“DMR/DMFR/DRE”) which are responsible for performing the following regulatory functions: * Monitoring Exchange Trading Permit Holder (“TPH”) compliance with trading rules and procedures designed to provide a fair and equitable options and stock marketplace, including providing real time resolution to concerns related to specific market activity * Investigating potential or alleged rule violations * Examining and investigating trading practices and financial responsibilities of Exchange TPHs, monitoring the finances and operations of TPHs * Managing the registration, qualification and continuing education requirements of Exchange TPH employees * Performing market surveillance and/or investigative activities on behalf of other self-regulatory organizations pursuant to Regulatory Service Agreements * Conducting options related insider trading investigations * Supporting the Exchange’s disciplinary programs in cooperation with the Legal Division * Ensure that all necessary surveillance mechanisms and investigative and examination techniques employed by DMR/DMFR/ORSA are reasonably designed, implemented and supported in a manner to enable the Division to satisfy its obligation to detect and pursue disciplinary actions for violations of SEC and Exchange rules. * Ensure that the regulatory responsibilities of DMR/DMFR/ORSA staff are efficiently and effectively performed in accordance with Exchange standards of conduct and ethics as well as Division policies, guidelines and standards, including those related to timeliness and accuracy. * Ensure all commitments made by the Division to the SEC, Exchange Regulatory Oversight Committee and Board of Directors in relation to the surveillance, investigative and examination aspects of the regulatory program are satisfied in a timely manner. * Perform other duties as assigned. Experience: * 5 to 7 years or more experience in financial market regulation * 7 to 10 years of previous managerial experience of significant size staff preferred * In-depth expertise and demonstrated knowledge of the operation of financial markets Education: Bachelors degree or higher in business, economics or a related field required, law degree preferred To apply please submit your resume to Info@compliancesearch.com"

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