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
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Finance, Accounting/Auditing, and Other
Industries
Banking, Financial Services, and Investment Banking
Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x