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Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You’ll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
RESPONSIBILITIES AND QUALIFICATIONS
The role of a Global Markets Division Compliance officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Global Markets Division by articulating and maintaining the standards of conduct required of the firm’s businesses as well as the laws, regulations and policies governing those businesses. Divisional Compliance provides coverage support to the Division’s functional (including sales, trading, and capital markets) and product areas (fixed income, equities, options, etc.), while working closely with other firm departments, including Finance, Operations, Technology, Internal Audit and Legal.
- Cover Global Markets Division personnel (including sales and trading personnel) and provide advice on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations and regulatory expectations
- Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
- Create and implement Compliance training programs for Equities professionals
- Perform look-backs, oversight and surveillances to assess compliance risks and breaches
- Assist with regulatory examinations, audits and inquiries
- Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues
- Coordinate with the business, Legal, Technology and other divisions across the firm on new desk initiatives
- Bachelor’s Degree
- 0 – 6 years Compliance, Legal, Regulatory or Financial Services industry experience
- Excellent communications skills (oral and written)
- Ability to handle multiple tasks simultaneously and work under pressure
- Knowledge of general trading rules and regulations (SEC, FINRA, NYSE, Nasdaq, CBOE, ISE, etc.) preferred