Our client, a prestigious an electronic trading exchange, is looking to hire a Compliance professional. The right candidate will need to be an effective communicator, possess strong influencing skills and be responsible for enhancing the compliance framework and program by introducing approaches to make the role as efficient and effective as possible. The Compliance associate will report into the Chief Compliance Officer of the firm’s broker-dealer. This individual will provide advisory compliance support for trading, with a focus on broker-dealer compliance and exchange traded products including equities. They will also be supporting the business in performing day-to-day compliance reviews while also providing advice regarding emerging business initiatives and regulations that impact the firm’s customers.
- Review written and electronic correspondence including social media.
- Review employee trading activity, outside business activities and private securities transactions.
- Review and provide guidance for marketing materials and sales literature.
- Review, document and report all written customer complaints to FINRA.
- Facilitate annual financial audit and accounts payable process for regulatory fees.
- Assist with broker-dealer governance and board meetings.
- Conduct employee on-boarding and off-boarding.
- Monitor the firm’s anti-money laundering program and customer on-boarding process.
- Maintain and implement written policies and procedures.
- Develop and implement compliance training.
- Actively monitor regulatory developments and trends, and take appropriate action to assist the business in complying with new or amended regulations.
- Maintain hard-copy and electronic broker-dealer books and records.
- Proactively identity issues affecting Thomson Reuters through attendance at business, industry and regulatory events
- Develop, maintain and strengthen the relationship between compliance and the business by providing timely and effective advice and strengthening the communication channels to ensure a two way flow of information
- Leverage and partner with other company teams including colleagues in Enterprise Compliance, Risk, F&R Legal, and the global F&R Compliance team
- Interact with technology support to ensure trading systems, books and records, and information security practices remain compliant with firm policies and industry regulation
- Effectively manage relevant external stakeholders including vendors, external counsel and consultants.
- Compliance experience with a broker-dealer or securities regulator.
- Proven working knowledge of FINRA and SEC regulations.
- Excellent analytical and organizational skills with strong attention to detail.
- Strong presentation and communication skills.
- Ability to negotiate and resolve issues with meaningful solutions both internally and externally
- Series 7, 24 (preferred) or commitment to pass exams within 6 months
- Knowledge of options, commodities and other non-equities exchange traded products and/or the drive to expand product knowledge
- Bachelor’s Degree
Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com