22 days ago
Responsibilities include, but are not limited to:
- Supervise over transaction reporting, pre-trade approval, personal activities, etc.
- Review and approve disclosures/confirms for accuracy and compliance with regulatory requirements for equity and municipal institutional trading businesses, social media/email review, daily trading exception reports, market access controls for equities and fixed income trading desks, best execution review, SEC Reg SHO, Reg NMS, SEC Rules 605/606
- Establish objectives and develop WSPs and Desktop Procedures to ensure alignment with Firm policies
- Ensure accuracy and integrity of monthly supervisory checklists and quarterly risk assessment reports to business unit leaders to ensure there are no breaches in supervision
- Serve as a point of contact for issues that cannot be resolved; address system supervisory and emerging business issues, escalating as required to the business unit heads and the Firm’s Compliance Department.
- Review and approve of research disclosures; offer supervisory advice to executive-level stakeholders and other supervisors with the ECM & IB businesses
Experinced and Skills
- Strong working knowledge of SEC, FINRA, MSRB rules and their applicability to an Equity and Municipal Trading, Equity Research and full-service Investment Banking business
- Ability to prioritize and handle multiple tasks simultaneously, and, in some cases, with short deadlines and without sacrificing accuracy or efficiency
- Experience interacting with senior business leaders and ability to build effective relationships with internal/external stakeholders
- Finra Series 57 Required or willing to obtain.