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Job

Electronic Trading Compliance Officer

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $120,000 to $170,000

  • Contact:

    Nicole Izurieta

  • Contact email:

    n.izurieta@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Job ref:

    Electronic Trading Compliance Officer

  • Published:

    28 days ago

  • Expiry date:

    2022-05-26

  • Startdate:

    ASAP

We have partnered with a leading investment bank to recruit an experienced electronic trading compliance officer to join their team and continue to support the buildout and development of the bank's electronic trading compliance operations and procedures. The Primary responsibility includes monitoring compliance risk behaviors and providing daily compliance advice pertaining to operations, regulations, and guidance across the electronic trading business.

Responsibilities

  • Designing, developing, delivering, and maintaining the firm's best-in-class Compliance program.
  • Work cross-functionally with various groups within ET Risk management to assess e-trading systems and strategies to help identify risks, provide compliance expertise on conduct assessments and assist to implement controls in order to ensure compliance.
  • Provide guidance on ET regulations on a real-time basis to manage compliance risk
  • Remain current on all relevant changes to ET and other related industries
  • Overseeing the monitoring and identification of regulatory development 
  • Participate in industry groups and trade association working groups
  • manage strategy and responses to regulatory examinations, reviews and inquiries, and internal and external investigations.

Qualifications

  • Working knowledge Compliance laws, rules, and regulations (SEC, 15c3-5, Reg NMS, EG ATS, FINRA, etc. 
  • Highly motivated, strong attention to detail, team oriented, organized
  • Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
  • Experience in managing regulatory exams and relationships with examiners, auditors, etc.
  • Awareness of regulatory requirements including local and US laws, international and industry standards.

If you, or someone you know, would be a good fit for this role please apply directly or reach me at n.izurieta@hamlynwilliams.com