Vice President Compliance Officer - Phaxis : Job Details
Vice President Compliance Officer
PhaxisJob Location : New York,NY, USA
Posted on :
2024-09-25T13:50:09Z
Job Description :
Growing Investment Banking and Broker Dealer client is seeking a strong compliance officer to join in an advisory capacity to support their clearing and prime brokerage business. Responsibilities include, but are not limited to:
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- Assist with the design, and execute regulatory compliance testing of the clearing and prime brokerage business.
- Work with the line of business supervision team to ensure all applicable rules and the products supported, are identified so that testing priorities can be evaluated and established while maintaining accuracy.
- Assist in the monitoring of the compliance with SEC, Client and other applicable regulations, keep up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s).
- Advise line of business supervision staff the on emerging compliance issues and assist in developing policies and procedures and risk management analyses.
- Bachelor's Degree from an accredited university
- Extensive knowledge of correspondent clearing and prime services activities.
- Working knowledge of institutional fixed income trading.
- Series 7 and 24
- Understanding of Client, SEC and other regulatory requirements around activities includes, Reg SHO, Reg NMS, Rule 605, Rule 606, SEC Rule 15c3-5, TRACE trade reporting
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