Securities Compliance Job Description

Securities Compliance Job Description

175 votes for Securities Compliance
Securities compliance provides advice on general trading rules and regulations and advise on real-time trading issues.

Securities Compliance Duties & Responsibilities

To write an effective securities compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included securities compliance job description templates that you can modify and use.

Sample responsibilities for this position include:

Prepare substantial written responses to regulatory requests and Examination Reports
Provide Compliance support for municipal sales and trading desk (retail compliance experience a plus) and Public Finance, related support functions
Identifying risks inherent in the conduct of the prime brokerage and clearing business, and implementing strategic and tactical means of addressing such risks
Testing controls and processes in the prime brokerage and clearing business for effectiveness, and reviewing business conduct for potential issues
Advising the business regarding the rules, regulations and firm policies relating to the firm’s providing prime brokerage and clearing services for its clients
Liaise with compliance colleagues and other firm colleagues regarding issues as diverse as anti-money laundering, surveillance exceptions, regulatory inquiries
Provide daily advisory support business management
Be responsible for implementation Corporate Compliance Policies and procedures regarding customer due diligence, internal controls, reviews of advertising and Marketing materials, conduct annual and specialized training, and execute special projects as assigned within his perimeter of responsibilities
Attend all management meetings, contribute to new product approval committees and new customer acceptance committees and provide advice and support on matters pertaining to customer due diligence, internal control procedures, and business line risk assessments
Conduct targeted due diligence reviews of selected customers and counter parties, , Introducing Brokers

Securities Compliance Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Securities Compliance

List any licenses or certifications required by the position: AML, NYSE, CFSA, CRCM, CPA, CIA

Education for Securities Compliance

Typically a job would require a certain level of education.

Employers hiring for the securities compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Business, Law, Finance, Legal, Financial Services, Education, Accounting, MBA, Economics, Business/Administration

Skills for Securities Compliance

Desired skills for securities compliance include:

Cash equities
General trading rules and regulations
Securities industry
Corporations Act
Fixed income products and automated trading engines
Primerica Investments inc. ’s internal systems
403b environment
ASIC Market Integrity Rules
ASIC Market Integrity Rules and Exchange Operating Rules

Desired experience for securities compliance includes:

Ability to offer solution-based guidance to upper management
Solid knowledge of risk management principles and controls, broad-based business practices, and the ability to assess levels of adherence/execution and identify risk/control improvement opportunities
Proficient with Microsoft Office suite of products, including Excel and PowerPoint
Ability to proactively research and stay current of the changes in interpretations of Regulation W
Assist management in preparation Detail oriented with high degree of accuracy in all duties
Monitor changes in regulations pertaining to the group and articulate the practicable implications of those changes to the business and advise management on any required changes to policies and procedures

Securities Compliance Examples


Securities Compliance Job Description

Job Description Example
Our company is growing rapidly and is hiring for a securities compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for securities compliance
  • You will also provide timely advice in relation to Compliance related enquiries from all Business Units including sales and trading queries, regulatory implementation, new product approvals
  • Work to enhance the profile and visibility of the compliance function
  • Manage oversight and governance framework for quarterly supervisory checklists, certifications/attestations and related compliance/supervisory meetings that support annual CEO certification/attestation requirements (pursuant to FINRA Rule 3130 and other regulatory requirements, including the Volcker Rule)
  • Development and dissemination of quarterly materials for use in compliance/supervisory meetings with Securities Division supervisors, globally
  • Draft and update relevant Supervisory Policies and Written Supervisory Procedures (40+)
  • Manage SDC contributions to firm wide supervisory compliance efforts including policies and procedures, training, quarterly meeting materials and annual reporting
  • Support requests for information and direction from Internal Audit and Compliance Testing Group
  • Respond to regulatory inquiries, as needed
  • Contribute to identification, testing and implementation of strategic and/or routine technology enhancements associated with the platform above
  • 5+ years experience in broker-dealer compliance, preferably in an advisory role, or with a securities regulator
Qualifications for securities compliance
  • Hands on working knowledge of SQL, in Sybase or IQ preferred
  • Strong interpersonal skills, ability to explain complex policies and procedures to employees at all levels
  • Three or more years of experience in the intelligence or criminal justice fields within the military
  • Work within the fields of anti-fraud a plus
  • Previous compliance, legal, business
  • At least 1 years of compliance, legal, business

Securities Compliance Job Description

Job Description Example
Our company is growing rapidly and is looking for a securities compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for securities compliance
  • Experience with institutional equity sales and trading required, equity research and syndicate experience preferred
  • Supports management in the day-to-day efforts related to compliance with laws, rules, regulations and related personal securities trading policies
  • The incumbent will monitor employee completion of initial and ongoing brokerage account and holding certifications and their use of approved brokers
  • In addition, the incumbent will process manual trade preclearance requests and process employee inquiries made to the department email box
  • Finally, the incumbent will be responsible for running, analysing and distributing all trade activity reports
  • Industry Developments - Keep abreast of industry developments and ensuring the Head of Institutional Compliance and relevant Business Units are informed of relevant regulatory changes in addition to ensuring relevant Compliance documentation is updated accordingly
  • Compliance Advisory - Provide timely advice in relation to Compliance related enquiries from all Business Units and infrastructure departments
  • Compliance Training - Conduct Compliance induction training for new staff and assist in the preparation and delivery of relevant Compliance training for various Business Units and infrastructure departments
  • Statutory Registers – assist in the maintenance of regulatory registers
  • Review and Oversight of Controls
Qualifications for securities compliance
  • At least seven years of work experience, including banking regulation
  • The ideal candidate has at least 7 years working experience from an Institutional Investment Firm or working in a Compliance department or with a regulator
  • You will have solid knowledge of the QFII regulations and CSRC/CBRC/SAFE/PBOC regulations and Interbank market/Exchange Operating Rules
  • Minimum 3 years compliance, legal, accounting or business (or other relevant) experience involving the securities or financial businesses
  • Fluency in reading and speaking Chinese is a plus
  • Experience with requirements gathering and working directly with end-users

Securities Compliance Job Description

Job Description Example
Our growing company is looking for a securities compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for securities compliance
  • Finally, the incumbent will be responsible for running, analysing and distributing all trade activity reports, violation reports and running weekly processing reports
  • The incumbent will classify employees to facilitate monitoring
  • Analyse surveillance results and data to produce management reports
  • Accountable for the end-to-end delivery of the Reference Data Utility
  • Accountable for the satisfaction of the Custody, Collateral Mgmt and Securities Core Processing experience of the Reference Data Utility
  • Accountable for understanding the client's business and industry trends
  • Accountable for business development, strategy and supporting the growth and penetration of the Reference Data Utility across Custody, Collateral Mgmt and Securities Core Processing
  • Proactively work to enhance clients relationships by probing for, and when appropriate, recommending and implementing service enhancements
  • Accountable for the program management of the Custody, Collateral Mgmt and Securities Core Processing Reference Data Technology discretionary budget (approx
  • Accountable for building relationships with senior level contacts across Custody, Collateral Mgmt and Securities Core Processing in order to understand their reference data requirements
Qualifications for securities compliance
  • Experience of conceiving and implementing process improvement initiatives
  • Experience of working on delivering insight solutions/applications
  • Being a team-player working independently
  • Familiar with relevant guidelines, rules, regulations of the HKMA and SFC
  • Solid experience in AML / KYC and knowledge in FATCA and AEOI preferred
  • Strong analytical skills in the context of compliance and control environment

Securities Compliance Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of securities compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for securities compliance
  • Develop, write or update firm policies and procedures, as needed
  • Develop and maintain surveillance programs related to market conduct and trading issues
  • Conduct oversight reviews and monitoring of client accounts exhibiting unusual trading, concentrations, churning or other high risk activity
  • Monitor account activity as it relates to client objectives
  • Work with supervisors to develop and review rep-level reports to identify possible inappropriate activity
  • Assist business unit supervisory personnel with developing effective supervisory control testing and oversight programs
  • Assist with handling of errors and corrections
  • Coordinate with Corporate ITS and business unit personnel to ensure proper maintenance of regulatory books and records
  • Provide guidance on regulatory implications associated with new or proposed rules and developing and launching new products and services, including but not limited to, suitability, know your customer, books and records and back office operational requirements
  • Prepare and deliver educational communications and/or presentations to Field and Home Office employees as needed
Qualifications for securities compliance
  • Previous Compliance or Legal experience is definitely an advantage and is preferred, although the candidate could have been in another highly regulated field
  • Preference will be given to candidates with strong institutional equity Compliance experience with a Global Investment Firm
  • Practical understanding of securities services business
  • 1-3 years compliance, legal, or business (or other relevant) experience involving the securities or financial businesses
  • Solid knowledge of securities and asset management products is a must
  • Proficiency in both written and spoken English and Chinese is a MUST

Securities Compliance Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of securities compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for securities compliance
  • Track regulatory findings and observations and any remedial commitments to regulators
  • Build and maintain regulatory relationships in AEJ
  • Advise Business on AEJ disclosure regime relating to beneficial ownership
  • Monitor firm wide correspondences with the Hong Kong regulators
  • Partner with Legal Department to give appropriate regulatory advice to Business
  • Document and implement compliance programs and policies related to Markets businesses, including new global regulations related to Markets such as Dodd Frank, EMIR, MIFID2, and SFTR
  • Partner with the business on various regulatory reporting issues, including reporting under Dodd Frank and EMIR
  • Assist in developing compliance policy and provide support to the business units with regard to business developments
  • Oversight of the review of customer complaints and inquires
  • Ensure appropriate reports are maintained and provided to Compliance management when required
Qualifications for securities compliance
  • Minimum of ten years progressive audit or compliance experience in the financial services sector
  • Liaising with other members of the MSG-aligned Compliance team globally to ensure effective support of MSG's businesses (Cash Sales and Trading, Principal Trading, Research, Equity Finance)
  • This position requires knowledge of the Financial Services Industry, U.S. securities markets and investment instruments and a general knowledge of compliance concepts
  • Degree qualification in Commerce/Business, Economics, Law or related discipline
  • Dynamic individual with 4-5 years of compliance, legal, audit or other control function experience covering Equities and/or FICC products
  • Working knowledge in HK and APEJ regional OTC and listed securities regulations

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