Required Skills/Experience:
- 5-8+ years of Compliance and/or Control Room or equivalent financial services industry experience
- Experience of providing compliance advisory support in financial services environments and acting as a compliance function representative to other business areas
- Strong understanding of financial markets, investment banking, capital markets and products
- Ability to understand and apply regulations applicable to the Control Room function, including, but not limited, to SEC 10b(5)-1, Rule 138/139, FINRA rules
- Ability to interface with IT in order to investigate technical issues, discuss enhancements to existing systems, and development of new systems
- Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment
- A self-starter with a professional and detailed oriented demeanor
- Excellent communication (written and oral) and interpersonal skills
- Ability to manage multiple, deadline-oriented tasks in a fast-paced environment
Education/Certifications:
- Bachelor's degree required (Business or Finance degree preferred)
- Series 7 or Series 24 FINRA license required, or the ability to obtain within 6 months
