Primary Accountabilities/Responsibilities:
- Identifies and interprets SEC, FINRA and self-regulatory organization rules and regulations to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance
- Monitor the Trade Reporting and Compliance Engine (TRACE) activity for the Firm.
- Document late trades, identify the root cause and make necessary changes to trades as appropriate
- Identify areas of improvement or efficiencies in the Firm's TRACE reporting process and work with stakeholders to implement enhancements..
- Works with all levels of management to ensure that appropriate supervisory processes and controls are established and documented within the areas of responsibility;
- Engage in proactive surveillance activities to detect and resolve potential compliance issues.
- Develop exception reports to enhance compliance surveillance.
- Develop summary TRACE reports for dissemination to the trading desk principals and senior management.
- Assist or lead on various compliance projects as needed;
- Prepare for regulatory exams and assist in responses to regulatory inquiries.
