IT Compliance Lead – Equities Technology
- 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