Role details

Trading Advisory Compliance VP

New York   •  Permanent

Bullet points

  • Interesting Subject Matter
  • Competitive Compensation

About Our Client

My client is the leading asset management firm in the world.

Job Description

  • In alignment with the global trading compliance program, implement and maintain a cohesive, risk-based compliance program;
  • Maintain and enhance, as required, policies, procedures and processes regarding a variety of regulatory matters
  • Primarily responsible for supporting and enhancing the proprietary cross trading platform and derivative compliance program (e.g., futures, swap margin rules)
  • Partner with the Transactional Surveillance and Forensic Testing Team to identify and investigate escalation items;
  • Advise the business on their day-to-day operations as well as their strategic initiatives;
  • Develop and deliver effective training programs;
  • Respond to regulatory requests and other information requests;
  • Advise on regulatory reform and implementation

The Successful Applicant

  • Bachelor's degree required; Master's or law degree a plus
  • 5-10 years of compliance experience in financial industry
  • Extensive experience with fixed income and cash instruments and the development, implementation and management of regulatory compliance programs.
  • Good understanding of the US federal securities laws and derivative rules.
  • Excellent organizational skills and detail oriented.
  • Must have superior skills in MS Word, Excel, and PowerPoint.
  • Ability to perform in a fast paced environment and interact with senior management under highly demanding

What's on Offer

* Full benefits: health, vision, dental, child care

* Daily, catered lunch

* Car and cell phone budget

* 401(k)

Apply for this job

Click the Apply or LinkedIn button below or contact Michael Campagna quoting job reference 1216321
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