New York, New York
$120,000 to $150,000
Senior Compliance Officer - Equity Capital Markets
about 1 month ago
We’ve partnered with a bank to bring on a Senior Compliance officer for their Equity Capital Markets team. The ideal candidate will provide their expertise and strong understanding on equity capital markets rules and regulations.
What you’ll be doing:
- Maintain firm’s Equity Capital Markets policies and procedures to ensure compliance with SEC and FINRA.
- Works with all levels of management to ensure that supervisory processes and controls are established.
- Conduct testing on supervisory reviews and surveillance teams monitoring to make sure controls are working appropriately.
- Provide analysis on FINRA report cards monthly. This includes putting together statistics that highlight trends and anomalies.
- Bachelor’s level educated – Finance, accounting or related field is preferred
- Experience working with…
- SEC rule 613, 200, 201, 203b(1), 204, 10b-21, SHO
- FINRA 6460, 2360 options trading, 5310 best execution and inter-positioning
- Investment Company Act 1940 (ESMA Rule) -Undertaking for the Collective Investment in Transferable Securities (UCITS),
- SEC Rule 3a51-1, SEC Rule 15g-2, Schedule 15G, SEC Rule 15g-3: Low-Priced securities (Penny-stocks), SEC Rule 15a-6: Permissible activities of which foreign broker-dealers , SEC Rule 13h-1: Large Trader Rule
- REG NMS
- FINRA series 7 & 24 preferred
- Experience working with senior compliance and regulatory staff from exchanges and regulatory agencies.