$180,000 - $200,000 base + 50% bonus
6 days ago
We're working on an exciting opportunity for a Head of Equities Compliance to join a well-known financial services firm. This is exciting as you'll work closely with the CCO to build their ECM team and wider markets function.
What you'll be doing:
- Updating the firm’s supervisory policies and procedures.
- Building a compliance surveillance program and implementing key supervisory systems and controls.
- Building out a compliance program for the firm’s equity trading desk, to include OTC and Listed Trading.
- Training of the firm’s trading desk personnel, back-office support, and technology support on topics relevant to the firm’s trading activities will also be a requirement.
- Interface with regulators on trading-related issues and be responsible for the drafting of regulatory responses.
- Drafting responses to regulatory inquiries and exam requests.
- Leading and developing a team within the compliance function
- Communicating with senior business leaders regarding compliance issues identified or changes to regulations.
- Managing changes to regulations to ensure the Firm is in compliance with same, including communicating to internal partners, creating policy and control changes
Required Experience and Skills:
- 10+ years of experience in Compliance,
- 5+ within Equity Trading Compliance.
- Strong leadership skills
- Bachelors degree level educated
- Series 7, 55, and 24.
For more information email Thomas Byrne at email@example.com