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Chief Compliance Officer
Multi-National Inter-Dealer Brokerage
Unique Career Opportunity
About Our Client
My client is a globally respected broker offering intermediary service, exclusively for institutional clients. It covers equity products (shares, options on single stocks, options on indices) as well as Futures and Swaps (options on IR swaps, equity swaps, variance swaps).
- Cover all FINRA related matters and do the mandatory filings on time.
- Produce a monthly compliance report to the attention of the Global Head of Compliance.
- Cover all NFA related matters and do the mandatory filings on time.
- Work directly with traders and brokers.
The Successful Applicant
- Extensive experience with electronic trading compliance.
- Highly autonomous compliance professional.
- Extensive knowledge of FINRA and NFA regulations, experience dealing with both agencies.
What's on Offer
- Full health benefits