Trade Compliance Officer - Tandym Group : Job Details

A financial services firm in New York City is currently seeking an experienced professional to join their team as their new Trade Compliance Officer. In this role, the Trade Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations.Responsibilities:The Trade Compliance Officer will:

• Monitor trading activities to ensure compliance with relevant regulations, laws, and policies
• Work with traders to ensure that all trades are executed in compliance with regulatory requirements and internal policies
• Develop and implement policies and procedures to ensure compliance with regulatory requirements
• Provide training and guidance to internal stakeholders on regulatory requirements and internal policies
• Conduct compliance risk assessments and audits of internal policies
• Investigate and resolve compliance issues and escalate as necessary
• Keep abreast of changes to regulatory requirements and make necessary updates to internal policies and procedures
• Interface with external regulatory bodies and respond to regulatory inquiries and requests for information

Qualifications:

• 4+ years of experience in Public Equities Trading Compliance
• Bachelor's Degree in Business Administration, Finance, Legal or related field
• Series 7 required
• Strong knowledge of FINRA and SEC rules and regulations related to Public Equities Trading
• Experience using Trillium software for Trade Compliance Management
• Experience developing and implementing Public Equities Trading Compliance policies and procedures
• Solid analytical and problem solving skills
• Great interpersonal skills
• Excellent communication skills (written and verbal)
• Strong attention to detail
• Highly organized

Desired Skills:

• Series 24 or attained upon hiring