Our client, a global, top 5 investment bank is hiring a VP, Equities Trading Compliance to sit in their New York City office.
Their ideal candidate has 10 + years' compliance experience with advisory expertise pertaining to equity market structure.
Responsibilities:
- Acting as the main point of contact while handling compliance advisory responsibilities for Equities Sales and Trading personnel
- Assist in CAT program implementation, verification checks, cross asset sales, and similar duties
- Executing strong remediation and performing transition of listed options to third party vendors
- Demonstrating leadership skills through working in groups to improve and maintain overall compliance function
Qualifications:
- Business or finance degree
- Expertise in updating and maintaining policies and procedures
- Strong knowledge of Equities
- Quality communication skills, ability to act as a leader and drive change within an organization
