Vice President Equities Compliance

A broker dealer located in Midtown Manhattan looking to bring on board a “Vice President Equities Compliance” to join their team. This role is currently in a hybrid schedule (3 days in office / week).

Responsibilities:

• Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.

• Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.

• Maintain and Oversee the Firm’s Equity & Options Trading activities

• Assist the business on implementing and documenting various supervisory/control mechanisms.

• Assist the business on drafting, updating, and implement relevant policies and procedures.

• Provide regulatory/compliance training.

• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.

• Interact with federal and state regulators

• Perform testing and monitoring of compliance with firm policies for covered business areas

• Conduct compliance risk assessments to ensure effective business control framework

• Analyze new regulations and conduct business-based analysis and execute requite implementation.

• Provide ongoing reporting to senior management

• Develop and deliver proactive strategies and tactics that support compliance/business objectives