Risk Compliance Manager - Jersey City, United States - AscendHire
Description
Senior Risk Compliance Officer
Financial Servies
MUSTS-Institutional Compliance
Jersey City, NJ-HYBRID
Series 7/24
$ Bonus, Great Benefits
Will assist with a relocation package
The position
The candidate will be an integral part of the Compliance Department and work with the various capital markets departments as well as interact with all levels of Firm management. The ideal candidate will be an experienced Compliance professional with a strong understanding of equity trading, options, Prime Brokerage and securities lending. The candidate will need to be a self-starter and strong communicator.
What you will do
Working with assigned departments to help improve their policies and procedures. The candidate will be required to review and analyze current policies and procedures; identify, recommend, and implement new and/or enhanced practices related to updated regulatory initiatives and interpretations, new lines of business and changes in business activities.
Provide support for regulatory reviews and internal reviews. assist in regulatory and internal reviews involving securities lending, trade surveillance and other related matters as needed.
Ability to assist in trade surveillance reviews, including daily trade activity, Rule 606 review, and Blue sheet filings. Knowledge of the Nasdaq Trading System ("NTS" or "Nasdaq Smarts") a plus.
In-depth knowledge of SEC and FINRA trading rules and regulations as they pertain to broker-dealers. Knowledge and understanding of NFA regulations is a plus.
Excellent written and verbal communication skills.
Self-motivated and a collaborative problem solver.
Ability to prioritize work and effectively prioritize multiple and conflicting deadlines
What you offer
Undergraduate Degree required. Graduate degree or additional industry certifications a plus
7+ years of Compliance and Risk experience-Institutional Compliance
Specific knowledge of Institutional Trading, Consolidated Audit Trail, Securities Lending, Prime Brokerage required. Knowledge of the Futures Market a plus
FINRA Series 7, and 24 required. Series 3, 4, 57 and other exams a plus.
Self-starter and collaborative problem solver
Proficient in responding to regulatory inquiries and the FINRA Gateway system