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You will primarily focus on development and implementation of policies and procedures, as well as developing control processes ensure compliance with applicable rules and regulations. You will work closely with the fixed income and equities sales and trading markets teams and possess proven expertise in regulatory reporting whithin US Securities markets.
Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact, specifically, FED, FINRA, SEC, CFTC, NYSE, and OCC;
Regulatory reporting requirements of a U.S. Broker / Dealer in (TRACE, OATS, ACT, CAT, LOPR, Bluesheets, Reg Sho, MSRB).
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