Saturday, December 8, 2012

New job Real Time Trading Floor Compliance Officer – VP, New York, NY

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Subject: Real Time Trading Floor Compliance Officer – VP, New York, NY

Alice Morgan posted a job: Real Time Trading Floor Compliance Officer – VP, New York, NY

"Top-tier investment bank seeks a Real Time Trading Floor Compliance Officer – VP to: • Provide senior compliance advisory coverage to Institutional Equities Sales & Trading desks, with a focus on the following primary coverage areas: Sales, Sales Trading, Cash (Single-stock and Programs), ETF/Index, Electronic (Algos, DMA, and ATS), Special Situations, Market making / High frequency, and International. • Interface with Senior members of the business on real-time issues to ensure that trading practices remain compliant with existing regulatory requirements. • Manage implementation of new regulatory initiatives and develop and implement written policies and procedures to ensure compliance with applicable Federal and SRO regulations. • Assist with annual regulatory examinations and responding to regulatory inquiries and investigations pertaining to trading matters. • Conduct training on relevant regulatory matters for business units. • Interface with other Compliance teams to provide proper coverage depending on product area. • Provide leadership/mentoring to junior members of the team. Requirements/Qualifications • Bachelors Degree. • 7+ years Compliance/SRO experience, with at least 5 years working in a trading floor environment. • Advanced Degree(s). • Series 7, 55 and 24 preferred (will be expected to complete). To apply please submit your resume to info@ComplianceSearch.com"

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