Equities Sales & Trading Compliance Advisory Vice President
Core
Provide compliance advisory support for Institutional Equity Sales and Trading, covering regulatory requirements, risk management, and firm policies for equities, exchange traded products, convertibles, and derivatives.
Role type
Vice President, Compliance Advisory
Builds
Compliance coverage and risk management support for ISG Equity Sales and Trading
Domain
Financial Services / Institutional Equities
Required skills
Institutional equities broker-dealer regulatory compliance knowledge, SEC regulations expertise, FINRA rules expertise, Exchange rules expertise, risk assessment, policy creation, regulatory examination support, training design, regulatory trend monitoring, technology compliance interaction
Preferred skills
Investment banking experience, data analysis, project management, communication with senior personnel, analytical skills
Technologies
SEC regulations, FINRA Rules, Exchange Rules, Consolidated Audit Trail, Reg NMS, Reg SHO
Responsibilities
Advise traders and sales on regulatory requirements and compliance risk management; Assess risk and remediate issues with business units; Create and maintain compliance manuals and procedures; Assist in regulatory examinations and audits; Design and deliver training for business unit personnel; Monitor regulatory developments and ensure compliance; Interact with technology and risk management to ensure trading practices remain compliant
Seniority
Vice President, Senior Management