3 months ago
We're working on an exciting role for a VP of Trade Floor Supervision to join a growing international banking institution. This is an opportunity to monitor trade floor activities and work in the 1st LOD.
What you'll be doing:
- Perform E-mail and phone call reviews of employees to ensure the appropriateness of communications
- Assist in maintaining up-to-date policies and procedures
- Review surveillance reports; document and report anomalies and trends to your regulatory supervisor
- Partner closely with Compliance and Supervision colleagues in order to monitor Regulatory developments in the context of current rules and industry trends
- Provide consultation and advice to trading desks and Business Heads
What they're looking for:
- 5+ years of experience within supervision and/or surveillance compliance
- Strong Commodities product knowledge and understanding of trading activities and applicable regulations
- Solid knowledge of Banking Regulations, which include but are not limited to CFTC, NFA, SEC, FINRA, OCC, FRB, IIROC, OSFI, EMIR, etc.
- Series 7, 24 et al are beneficial but not required
For more information contact Thomas Byrne at email@example.com or 646 349 4411