Senior Compliance Officer (Equities)

Performs various compliance tasks with minimum supervision including: regulatory advice to the business, drafting and implementation of policies and procedures, communication to the regulators and conducting compliance testing and reporting to ensure that the Firm’s activities, policies and procedures are in compliance with applicable laws and regulations.

KEY DUTIES AND RESPONSIBILITIES

  • Participates in the development and maintenance of comprehensive written supervisory procedures and the related supervisory control review. 
  • Works closely with various departments within the Firm to provide analysis and resolution on compliance related matters; identifies and communicates regulatory change.
  • Assists in conducting on-going surveillance, reviews and testing, ensures maintenance of proper documentation of all reviews conducted by the compliance department (outside business activities, private securities transactions, employee accounts, social media)
  • Researches and responds to regulatory inquiries, as necessary (SEC, FINRA, CBOE)
  • Assists with the coordination of examinations with various government and regulatory organizations
  • Conducts mandated regulatory reviews  
  • Maintains employee and Firm registrations
  • Approves new accounts
  • Assists in internal examinations, including follow-up actions
  • Participates in development and delivery of employee training, including continuing education
  • Assists in tracking/documenting compliance projects, registration requirements and compliance affirmations

 

REQUIRED KNOWLEDGE AND EXPERIENCE

  • Bachelor's degree from an accredited college/university preferably in accounting, finance, economics or related discipline
  • JD or MBA preferred 
  • Minimum of 7-10 years of experience in equity / options compliance
  • Broad knowledge of Broker Dealer operations 

Required licenses:

  • Series  7, required/or equivalent experience
  • Series 4 or 24 licenses preferred 

COMPETENCIES 

  • Strong organizational and effective communication skills.
  • Must be highly flexible, multi-task oriented and capable of changing directions based on business demands.
  • Team-oriented with strong interpersonal skills, ability to manage conflict and deal with pressure in a positive manner.
  • Ability to work both independently and in a team environment