Exciting career opportunity for a 10+ year broker-dealer compliance manager to join an innovative fast-growth FinTech firm establishing itself in New York.
The successful candidate will be responsible for developing, implementing, testing and maintaining an effective US compliance program to address all relevant SEC and FINRA regulatory requirements. Reporting into the global head of compliance in the UK, you will need to possess Equities Trading Compliance experience - Trading Group, Cash Equities, Options, and Fixed Income Trade Desks ideally.
Substantial experience running a broker dealer compliance program and/or working at a regulator handling examinations and regulatory issues is required. This business critical role with extensive external market interface will suit a highly motivated, entrepreneurial professional with an appetite to be part of a rapidly expanding organization in New York and a desire to work in a constantly evolving frontier business at the intersection of technology and the markets. Competitive compensation package on offer with a refreshingly civilized and healthy approach to work/life balance is on offer.
To learn more about this opportunity and others like it please email or call Ben Ellison on +1 646-766-1212.