IT Compliance Lead – Equities Technology

Full time - Permanent
New York
Posted 2 weeks ago

IT Compliance Lead – Equities Technology


Primary Responsibilities:


  • Excellent experience handling regulatory/compliance inquiries, data pulls, familiarity with the inquiry process and hands-on experience to handle them effectively
  • Experience with FINRA TAMMs Guidance and Annual Examination Priorities letter
  • Up to date knowledge of compliance and regulatory landscape pertaining to stocks, options, SWAPS, and OTC derivatives.
  • Excellent knowledge and experience in Equity front office compliance rules and regulatory reporting for stocks, options, SWAPS, such as:
  • 15c3-5, RegSHO, Reg NMS, LULD, ACT, OATS, LOPR, EMIR, CMRS, etc.
  • Good experience managing equity front office compliance and regulatory projects
  • Good understanding of foreign regulations’ impact on US market
  • Good inter-person skills and ability to gather compliance requirements and formulate an implementation strategy
  • Experience with Canadian secondary trading regulation a plus
  • Good understanding and experience concerning operation risk and cyber security
  • Strong IT project implementation experience with solid technical background


Job Features

Job Category Information Technology - Security, Administrative, Banking, Banking & Finance, Finance, Information Technology, Technology

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