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Chief Compliance Officer - Equity Prop Trading Firm

  • Job type: Permanent
  • Location: New York
  • Salary: $150000 - $180000 per annum
  • Job reference: dfgsfszdfsxcz
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • Date posted: 19/06/2017
Equity Prop Trading Firm is looking to bring on a CCO to help grow and build out their compliance function. This is obviously a key hire for the company and they are looking to move fast.

Responsibilities:
  • Real-time monitoring, advice and support to the firm’s trading desk.
  • Advice to the traders on regulatory requirements.
  • Activity monitoring and exception reporting.
  • Educate trading personnel on compliance procedures and new regulations. 
  • Manage and amend the firm's "Written Supervisory Procedures" as and when necessary to conform to new business requirements and regulations.
  • AML experience required.
  • Research and provide guidance on new trading proposals and trading styles.
  • Work with regulators on regulatory exams and taking care of routine regulatory inquiries.
  • Should be able to work independently.
  • Must possess exceptional written and verbal communication skills.
  • Strong interpersonal skills.
  • Project management experience.
Required Experience:
  • Must have experience with equities trading and trade reporting.
  • Must be fluent in all equities trading rules as well as be aware of the regulatory environment.
  • 5+ year’s compliance experience (preferably in a trading firm).
  • Must possess series 7, 24, and 63 licenses (Series 27 and/or Series 14 a plus).
  • Experience with all aspects of Broker/Dealer compliance helpful.
If you would have an interest in learning more about this position please send in an updated resume in a word document.
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