New York City
140 - 155K
12 days ago
Hamlyn Williams have partnered with a prestigious financial institution to bring on a VP of Trade Floor Supervision - Commodoties to work in the first line with the of defense monitoring trade floor activities and ensuring these activities adhere to all applicable regulations.
In this role you will:
- Review surveillance reports; document and report anomalies and trends while assisting in maintaining up-to-date policies and procedures
- Perform E-mail and phone call reviews of employees to ensure appropriateness of communications
- 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
In this role you will need:
- Strong Commodities (Energy and Metals) product knowledge and understanding of trading activities and applicable regulations. Front office trading experience a plus.
- Solid knowledge of Banking Regulations, which include but are not limited to CFTC, NFA, SEC, FINRA, OCC, FRB, IIROC, OSFI, EMIR, etc.
- Strong relationship management skills; ability to establish and manage multiple stakeholder relationships with the business, within the three lines of defense and with corporate support functions
- Advanced educational degree is desirable (CFA, MBA, CPA, or JD) as well as FINRA licensing (Series 7,24,27).
I am a market specialist in financial crimes and compliance working with a large network of clients in the financial services industry. If you are interested in this role or would like to explore other opportunities, feel free to reach out directly. Contact Ryan Carter at (646)349-5998 or firstname.lastname@example.org.