$145,000 - $155,000
3 months ago
We've partnered with a growing global FS firm who are looking to add an Equities Compliance Officer to their team.
What you'll be doing:
- Great understanding of SEC, FINRA, state, federal, foreign jurisdiction, and self-regulatory organization rules and regulations to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance
- Keeps abreast of new rules and regulations and how it affects the Equity Capital Market business activities of the firm to ensure firm policies and procedures are up to date; Reg SHO, SEC Rule 605 & 606, SEC Rule 15c2-11, Reg NMS.
- Manages team of personnel develops strategic compliance initiatives and directs these initiatives to completion.
- Coordinates Firm’s regulatory response to Equity department-related inquiries and requests.
- Develops and implements policies and procedures across the Equity Capital Market areas of responsibility.
- Assists in developing an audit/control process for the annual FINRA Rule 3120 report
What they're looking for:
- 4+ years of compliance or regulatory experience.
- Strong knowledge of SEC and FINRA rules.
- Broad understanding and experience within Equity Capital Markets, Investment Banking and Research.
- Experience in a CAT Roll-out is beneficial
For more information get in touch with Thomas Byrne at Hamlyn Williams at email@example.com