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Compliance, Securities Division Compliance, Associate / Vice President
Finance & Investment Industry Company
New York, NY, United States
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Job Summary & Responsibilities
Based on the NY trading floor, the candidate will work as part of the US Securities Divisions Compliance Team to primarily cover the Foreign Exchange and Emerging Markets Businesses of the firm. The candidate will also be required to work closely with other firm departments, such as Controllers, Operations, Credit, Internal Audit and Legal.
The candidate’s responsibilities would include:
Providing advice on individual transactions, new products and business initiatives. Monitoring of sales, trading and new issue activity to ensure compliance with appropriate rules, regulations and firm policies. Creating and implementing compliance training programs for business unit professionals. Developing policies, procedures and best practices for each business unit. Keeping up-to-date with relevant regulatory/rule changes including the analysis and implementation of such regulatory/ rule changes. Participating in regulatory and internal investigations and audits. Coordinating and leading compliance related projects.
Basic Qualifications
◦ The ideal candidate must be proactive, good interpersonal skills, and a team player who is able to prioritize in a fast moving, high
pressure changing environment.
◦ Must work well under pressure (trading floor environment) and have a positive, hands-on, "can do" attitude.
◦ Excellent communication skills both written and oral.
◦ Strong analytical, technical and problem solving skills with the ability to exercise sound and balanced judgment.
◦ Ability to handle multiple tasks simultaneously
◦ Takes ownership over tasks/projects, detail oriented and enjoy fact-gathering.
◦ Must be comfortable issue-spotting, working with subject matter experts and leading teams to resolution.