Senior Compliance Officer

Overview

• The Senior Compliance Officer is responsible for ensuring adherence to regulatory standards and trade reporting requirements within a hybrid work environment.
• Collaborates with trading desks and sales teams to provide compliance guidance and real-time interpretation of trading rules.
• Manages compliance tasks, supervises written procedures, and conducts surveillance of trading floor activities.
• Acts as a regulatory liaison, overseeing progress and completion of reviews by external agencies.
• Reviews and responds to correspondence from regulatory agencies, ensuring compliance with NYSE, FINRA, and SEC regulations.
• Approves employee personal trade requests, maintaining watch and restricted lists.
• Conducts compliance reviews, including annual branch inspections and daily T+1 report evaluations.
• Provides oversight and guidance on trade reporting requirements, including CAT and TRACE.

Key Responsibilities & Duties

• Review and amend Written Supervisory Procedures to ensure regulatory compliance and operational efficiency.
• Conduct surveillance of trading floor activities, including equities trading and FICC sales operations.
• Provide real-time compliance guidance and interpretation of trading and sales rules.
• Manage compliance tasks and assign responsibilities within the department.
• Assist with manual trade reporting and compliance reviews across various departments.
• Serve as a regulatory liaison, ensuring completion of external agency reviews and responses.
• Approve personal trade requests and maintain watch and restricted lists for employees.
• Review daily T+1 reports for trading, settlement, or system issues, ensuring compliance with regulations.

Job Requirements

• Bachelor’s degree in a relevant discipline; advanced degree preferred.
• Minimum of 10 years of industry experience; regulatory experience strongly preferred.
• Extensive knowledge of trade reporting requirements and regulatory standards.
• Strong analytical, organizational, and problem-solving skills with multitasking ability.
• Exceptional written and verbal communication skills; skilled in interacting with senior management.
• Current SIE and Series 7 certifications required.
• Collaborative team player with independent working capabilities and attention to detail.
• Hands-on approach with a willingness to contribute wherever needed.