Job Description

Summary/Responsibilities:
Support the implementation of effective and comprehensive compliance monitoring/supervisory programs
Conduct surveillance reviews to ensure compliance with regulatory and firm policies/guidelines
Keep abreast of regulatory/market structure changes that may affect the scope of existing surveillance
Work with technology/business supervisors to test surveillance reports to ensure integrity
Ensure regulatory filings are completed and submitted timely and accurately
Track reporting/escalation of compliance and regulatory risk issues
Provide guidance/assistance on compliance/regulatory issues to the business and support groups
Drafting/implement/update policies and procedures
Develop/administer training materials and programs
Assist in connection with internal and external investigations/exams/audits
Interact regularly with options and futures regulators
Support full service prime brokerage business

Requirements:
5+ years related securities compliance experience
Series 3, 4, 7 required
Series 14, 24 a plus
Experience with regulatory matters/futures & options/securities regulation (34 Act; 40 Act)/bank regulation
Previous working experience with regulators and/or ability to develop relationships with regulators
BA degree
Ability to work independently while managing various competing priorities with a heavy workload
FCM compliance experience preferred

Candidates interested in applying to this role should e-mail 96t234@brokeragejobs.com.