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Work in a team environment providing day to day compliance support and oversight for the Equities derivatives trading and sales desks which includes, Cash, Flow Derivatives, Convertibles, ATS, market making in cash and listed options, NYSE Floor activities, Program Trading. Develop close working relationships with front office and other relevant infrastructure staff. The candidate should be able to cover all aspects of Equities sales and trading. The role will also require working with Equities Supervision and surveillance, assisting with regulatory inquiries and examinations, responding to audit requests and assisting with the growth of junior staff. The role will require taking on projects, reviews and ad hoc tasks, working with a variety of senior business personnel and support representatives as appropriate.
The candidate will primarily focus on:
Live advisory compliance work with the aforementioned trading desks
Maintaining policies and procedures for such desks
Interacting with global compliance partners in Equities Compliance
Working closely with supervisory team to ensure proper supervisory controls are in place
5+ years of experience covering institutional equity derivatives sales and trading desks
7+ years of Compliance experience in an investment bank
Knowledge and prior experience of listed options sales, trading and market making issues
Knowledge and experience of day to day issues facing institutional equities trading
Prior experience of developing policy, assessing risks, conflicts, implementing procedures, training, surveillance, monitoring, investigations and review
Demonstrated communication skills, able to interact and work closely with senior business heads