Equities Compliance Officer

Equities Compliance OfficerFinancial FirmNYC - Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft, revise, implement policies and supervisory procedures, respond to regulatory inquiries from FINRA & SEC. You will oversee equities and electronic and algorithmic trading, Reg ATS, REG NMS, Market Access, Regulatory Reporting (CAT, TRF, Rules 605 and 606), Order Routing and Best Execution. You will manage and respond to regulatory examinations, investigations and inquiries related to the firm's equities business. You will file reg reports Forms ATS-N and ATS-R and respond to any regulatory inquiries. Hybrid schedule 3 days onsite in downtown NYC office.Must have:· Bachelors degree· 7+ years equities & equity derivatives compliance experience at a broker dealer· Expertise in Reg ATS, Reg NMS & Reg Reporting Requirements CAT, TRF, etc.· Series 7, 14, 24 or willingness to obtainGroup OverviewWe are a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior liquidity and data solutions.We are one of the largest interdealer brokers in the world by revenue, the number one Energy & Commodities broker in the world, the world's leading provider of OTC data, and an award winning all-to-all trading platform.Responsibilities: We are seeking an Equities Compliance Officer to provide regulatorycompliance advice and support to the Firm's equity trading and operational functions to enable the business to operate in accordance with all applicable regulatory requirements. This Equities Compliance Officer will work as a member of the Americas Compliance team based in New York offices and report into the Head of Equities Compliance.The candidate will draft, revise, and implement policies and supervisory procedures, as needed, and will respond to regulatory inquiries from applicable regulatory bodies (e.g., FINRASEC). Additional duties will include managingdriving Compliance projects and providing stakeholder advice on strategic business initiatives.Business stakeholders (Business Managers, Heads of Desks and Brokers); Legal; Risk; HR; IT; Finance; Operations and the wider Compliance function.Core Responsibilities Ensure the Firm meets its obligations pursuant to key regulations related to equities trading, including but not limited to, electronic and algorithmic trading, Reg ATS, REG NMS, Market Access, Regulatory Reporting (CAT, TRF, Rules 605 and 606), Order Routing and Best Execution;Manage and respond to regulatory examinations, investigations and inquiries related to the firm's equities businesses;Ensure timely filing of regulatory reports and updates to Forms ATS-N and ATS-R and respond to any regulatory inquiries;Work collaboratively with cross-functional teams as needed (e.g., Legal, Compliance, Client On-Boarding, AML Office, Marketing and Information Security);Conduct periodic assessments and other reviews to identify and remediate potential gaps;Draft and revise policies, WSPs, and controls as needed;Operate and execute specific controls owned by the Compliance Function;Provide accurate and timely advice to the Business and other functions, including inquiries and escalations from various trading and operations staff;Develop and enhance supervisory reports as needed;Analyze rule proposals and amendments to assess business impact and ensure proper implementation of any final rules;Review and advise on new business initiatives;Conduct periodic training;Identification of risks and risk mitigation solutions; andFulfill additional ad hoc duties as required to meet the needs of the Business.Requirements: In-depth knowledge of Reg ATS, Reg NMS and Regulatory Reporting Requirements related to equities trading (e.g., CAT, TRF);7 -10 years of experience supporting equities compliance at a broker-dealer;College degree required, andSeries 7 or ability to obtain the license upon hiring.DesiredMust have a strong work ethic and the ability to work well with others;Must have good written, verbal and analytical thinking skills;Must have an aptitude for technical mattersMust be able to manage multiple tasks simultaneously.

Created: 2024-11-06