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Trading Compliance

Location: New York City, NY
Job # 821223
We are seeking an experienced trading compliance professional to join our team.  

In this role, you will work alongside the company’s chief compliance officer in designing and developing effective compliance procedures and controls in support of new and expanding trading activities.  You will also participate in drafting, reviewing, and refining the documents that govern company policy and practice.

 
Candidates will have 5-8 years of experience in compliance at an institutional investment advisor, a major financial services firm, or experience at the U.S. Securities and Exchange Commission (“SEC”) or the Financial Industry Regulatory Authority (“FINRA”).  

We are looking for an individual that can demonstrate a strong expertise and understanding of trading in equity securities and has a deep understanding of equity market macro and microstructure issues and the ability to support various trading businesses.  The candidate should bring experience dealing with audits and other requests from U.S. regulatory bodies, particularly the SEC and FINRA.  Candidates should also have a strong academic record with, at minimum, a bachelor’s degree.

A computer science background is a plus but not required. Additional requirements include: excellent verbal and written communications skills; strong management and supervisory skills; and a proactive business-minded approach to the role. The following securities licenses are a plus: Series 7, 55 and 24.

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