Compliance Officer – Electronic Trading – Hybrid
Are you a compliance professional who thrives in a fast-paced entrepreneurial global environment where you will be both rewarded for your efforts and afforded the opportunity to take your career to the next level? Would a role offering exposure to worldwide markets, as well as to senior management, be appealing to you? If so, this Compliance Officer, Electronic Trading opportunity could be for you.
What are people saying about his employer? Senior Management is top shelf!
Great opportunity to work with a successful publicly traded company!
Located in attractive Fairfield County environs!
Excellent training on new technologies!
Great fringe benefits! A highly successful and growing publicly traded financial services firm is seeking to hire a talented Compliance Officer, Electronic Trading who is familiar with U.S. securities and/or commodities regulations and has relevant experience at a broker dealer, regulatory agency, exchange, law firm, or other trading institution. Additionally, the successful candidate should possess experience designing, maintaining, and managing electronic compliance testing programs. This is an excellent opportunity to grow your career with an industry leader.Title: Compliance Officer, Electronic Trading Hybrid
Salary: $160,000 to $200,000, Bonus & Equity eligible
Location: Stamford, CT
Responsibilities:
? Responsibilities for the Compliance Officer, Electronic Trading will include collaborating, with senior management and programming staff to ensure compliance with Market Access and Orderly Trading Rules, Exchange and NMS Trading Rules, Best Execution, Reg ATS, Vendor Display Rule, Payment for Order Flow rules and disclosures, and others.
? Crafting detailed written instructions for programmers and technical staff to enhance internal controls in response to new regulations or the launching of new business lines.
? Drafting and implementing firm policies, controls and written supervisory procedures.
? Developing and implementing remedial action plans in response to internal and external audit findings.
? Drafting regulatory responses for and interacting with SEC, FINRA, and other regulators.
Performing special projects as needed.
Requirements:
Bachelor s degree in finance or other relevant discipline.
6-12 plus years experience with the SEC, FINRA, an exchange, law firm, or another broker-dealer.
Strong fluency with technology and how it is applied to business issues and regulations.
Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
Industry registrations or member in good standing of the bar of any US state or the District of Columbia preferred.Estimated Salary: $20 to $28 per hour based on qualifications.
What are people saying about his employer? Senior Management is top shelf!
Great opportunity to work with a successful publicly traded company!
Located in attractive Fairfield County environs!
Excellent training on new technologies!
Great fringe benefits! A highly successful and growing publicly traded financial services firm is seeking to hire a talented Compliance Officer, Electronic Trading who is familiar with U.S. securities and/or commodities regulations and has relevant experience at a broker dealer, regulatory agency, exchange, law firm, or other trading institution. Additionally, the successful candidate should possess experience designing, maintaining, and managing electronic compliance testing programs. This is an excellent opportunity to grow your career with an industry leader.Title: Compliance Officer, Electronic Trading Hybrid
Salary: $160,000 to $200,000, Bonus & Equity eligible
Location: Stamford, CT
Responsibilities:
? Responsibilities for the Compliance Officer, Electronic Trading will include collaborating, with senior management and programming staff to ensure compliance with Market Access and Orderly Trading Rules, Exchange and NMS Trading Rules, Best Execution, Reg ATS, Vendor Display Rule, Payment for Order Flow rules and disclosures, and others.
? Crafting detailed written instructions for programmers and technical staff to enhance internal controls in response to new regulations or the launching of new business lines.
? Drafting and implementing firm policies, controls and written supervisory procedures.
? Developing and implementing remedial action plans in response to internal and external audit findings.
? Drafting regulatory responses for and interacting with SEC, FINRA, and other regulators.
Performing special projects as needed.
Requirements:
Bachelor s degree in finance or other relevant discipline.
6-12 plus years experience with the SEC, FINRA, an exchange, law firm, or another broker-dealer.
Strong fluency with technology and how it is applied to business issues and regulations.
Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
Industry registrations or member in good standing of the bar of any US state or the District of Columbia preferred.Estimated Salary: $20 to $28 per hour based on qualifications.
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