My client is one of the Largest investment banks globally and is looking for an experienced Equities compliance officer to join their compliance team here in New York City. This individual will report to the Head of Equities Compliance and perform monitoring and reviews of sales and trading activities to ensure compliance with applicable rules and firm policies. In additional, as a part of Commodities and Global Markets Group in the Americas, this group produces and distributes research and offers full-service trade execution to institutional clients globally.
Responsibilities for the Equities Compliance Officer
Perform monitoring and reviews of sales and trading activities
Draft and maintain compliance policies and procedures and written supervisory procedures.
Liaise with various levels of stakeholders and advise the business and related support functions with their regulatory requirements.
Assist with the drafting of responses to regulatory inquiries and regulatory examinations
Stay current on new rules and regulations.
You should have knowledge of key rules and regulations, such as Market Access, Market Manipulation, REG SHO and REG NMS.
Having the ability to exercise discretion and work independently are imperative for this role, as are determining priorities and meeting deadlines
Experience for the Equities Compliance Officer
3-5 years of demonstrated experience in broker-dealer compliance or with a securities regulator, and familiarity with US rules and regulations applicable to equities trading, sales and research
Experience in equity trade surveillance, familiarity with OATS trade compliance and other US Trade and regulatory reporting requirements (e.g. ACT/TRF, Rule 606/605 Reporting, Bluesheets, CAT NMS etc.) are highly desirable.
Series 7 or equivalent, and Series 24 would be a plus.
Bachelor's degree and post graduate degree (preferred)