Responsible for a variety of regulatory and compliance functions of a global investment bank.
Responsibilities:
Provide business analysis and user acceptance testing (UAT) functions in support of the Fixed Income and Structured Products division and the respective Wholesale Operations supporting
Manage the review, detection, monitoring and examination of the firm's daily equity derivative trading activities to identify possible violations of regulatory requirements and firm policies
Managing the Compliance Analysts and liaising with other the Legal Department and Compliance professionals such as AML, Registration, Bank Regulatory, FICC Compliance, Control Room, and Surveillance in order to give appropriate levels of support to the front office.
Provides regulatory guidance to business and trading personnel on pending matters as well as proactive risk assessment of new business initiatives.
Assist in drafting policy and procedural documents and manuals, conducting training sessions, and responding to regulatory inquiries.
Position will sit on the Trading Floor
Requirements:
Minimum of 5 years compliance experience covering equity derivatives
Experience with working on a trading floor
Series 7, 55, 4, 63 preferred
Strong knowledge of U.S. banking laws and regulations
Strong work ethic, analytical skills, and the ability to manage multiple assignments.
4 year College Degree
Good interpersonal skills at all levels required.
For immediate consideration, please forward resume and contact details to: info@ashtonlanegroup.com
Ashton Lane Group is a boutique executive recruitment firm serving the Banking, Insurance, and Alternative Investment sectors. For the latest opportunities, visit www.AshtonLaneGroup.com
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trade automation, connectivity and compliance solution, the SunGard
Transaction Network (STN) links institutions throughout the financial
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QUMAS
is a global compliance software company offering a complete Enterprise
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Belzberg
Technologies has been at the forefront of the electronic trading
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