Electronic Trading Compliance Officer
Salary $120000 - $180000 per year + BONUS
Location New York
Consultant Henry Smith
Date posted June 8, 2017
Market leading international Investment Bank requires a Compliance Officer to cover the Electronic Trading business
This market leading international Investment Bank requires a Compliance Officer to cover the Electronic Trading business. The role will involve providing advice and guidance to the advisory business in order to satisfy all external regulatory obligations and client contractual requirements.
A solid understanding of the regulatory environment governing Electronic Trading markets is required and prior experience in providing compliance advice to the business is a necessity.
With significant changes to regulations affecting the financial services industry, the individual must be able to run workstreams critical to the firm’s overall compliance profile.
Duties will entail -
- To consider the implications of client contractual, legislative and regulatory requirements on the operation of the Electronic Trading desk
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
- Point of contact for regulatory inquiries when required, prepare regulatory filings when necessary and assist management to handle all regulatory audits and exams
- Assess the impact of legislative changes to the financial markets sector, and ensure the business units are fully informed
- Be the main point of contact for the business with respect to compliance matters
- Continuous oversight compliance training and education throughout the business.
Suitable candidates will possess -
- 4 years relevant experience in Electronic Trading or general markets compliance, either in Banking or from a markets background
- Excellent regulatory knowledge, specifically relating to Electronic Trading regulations, either from a law firm or other markets compliance department
- Top tier academic background
- Excellent written and verbal communication skills
- Ability to work in a team environment and deal with international stakeholders across multiple jurisdictions