Compliance Officer - Options/Equity Trading

• Support regular compliance testing and monitoring of policies and procedures including: personal trading; outside business activities; gifts and entertainment; registrations and filings; sales practice; and, operations
• Prepare written policies and procedures and support remediation efforts of compliance
• Assist in rule reviews of all U.S. options and equities exchanges along with FINRA and the SEC
• Assist in ongoing compliance training of the firm and orientation for new hires
• Ensure all required regulatory filings are completed on a timely basis and updated as necessary and confirm all associated persons and entities hold appropriate licenses and registrations
• Ensure all required books and records and properly maintained pursuant to SEC requirements
• Assist in connection with periodic testing, on-site regulatory examinations and ad-hoc inquiries
• Work proactively to identify potential problems & compliance issues
• Will report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practice.

• 4+ years of Compliance experience with a Broker-Dealer or an Investment Adviser / Broker-Dealer, Compliance Consulting firm, or Bank.
• Bachelor's Degree in a related field required.
• Familiarity with SRO rules and regulations, regulatory filings, compliance technology platforms, and risk management frameworks.
• Experience identifying compliance issues and operational risk concepts.
• Strong understanding of SEC, FINRA and U.S. options and equity exchange rules.

• Juris Doctor (JD) or equivalent legal training in financial regulatory matters is highly desirable.
• Candidates with FINRA compliance, broker-dealer operations, and US capital markets regulatory experience are strongly preferred.
• Strong written and verbal communication skills, a can-do-attitude, enthusiasm, and a strong aptitude for learning.
• The ability to effectively prioritize workloads and complete tasks within well-defined guidelines and time constraints is essential.
• Organizational skills and attention to detail are critical given the nature of paperwork, processes, and work, upon which both clients and the Firm depend.
• This person is an intelligent, analytical thinker with the ability to draw on a range of resources to ensure a high-quality outcome across the position responsibilities.
• Series 7 and 63 registrations.
• Ability to collaborate and interact with multiple business structures and the temperament and skill to manage different types of personalities
• Ability to handle competing priorities, be self-directed and able to manage workload and make decisions
• Teamwork, excellent communication and analytical skills are essential
• Proficient in Word, Excel, Outlook, and PowerPoint
• Regulatory experience

• Written communication
• Communicativeness
• Problem solving & decision making
• Industry knowledge
• Functional/technical expertise
• High standards
• Integrity

Salary Range: