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Job

VP Supervision

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $160000 - $165,000

  • Contact:

    Thomas Byrne

  • Contact email:

    t.byrne@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    27 days ago

  • Expiry date:

    2021-09-25

  • Startdate:

    ASAP

We're working with an international investment bank that is looking to add an experienced Supervision specialist to their team in NY.

This role will sit in a centralized position, having oversight of product lines, across equities, fixed income, and commodities.

What you'll be doing: 

  • Review surveillance reports, documents, and report anomalies, and trends.
  • Assist in maintaining up-to-date policies and procedures
  • Partner closely with Compliance and Supervision colleagues in order to monitor Regulatory developments in the context of current rules and industry trends.
  • Participate in regulatory exams, including direct interface with Regulators and Examiners
  • Advise Desk Heads on regulatory impacts to proposed strategies and transactions

What they're looking for:

  • Bachelors degree level educated 
  • 5+years of Supervision or Surveillance experience within an institutional broker-dealer setting 
  • Solid knowledge of the Broker-Dealer and Banking Regulations, which include but not limited to SEC, FINRA, OCC, FRB, CFTC, IIROC, OSFI etc.
  • Professional certifications are required– Series 7, 63, 24

For more information contact Thomas Byrne at Hamlyn Williams at t.byrne@hamlynwilliams.com or 646 349 4411