VP - Trade Compliance Advisory

Job Title: VP - Trade Compliance Advisory
Contract Type: Permanent
Location: New York
Salary: US$120000.00 - US$160000.00 per annum + bonus
Reference: BBBH15152_1493849143
Contact Name: Ben Ellison
Contact Email:
Job Published: May 03, 2017 23:05

Job Description

Our client, a global, independent, brokerage and investment-banking firm, is looking to recruit an experienced Vice President, Trading Compliance Officer in New York.

This role will be responsible to maintain an effective trading compliance program through risk management, monitoring and surveillance of trading and sales activities.

The ideal candidate will ideally have:

  • Equities Trading Compliance experience - Trading Group, Cash Equities, Options, and Fixed Income Trade Desks;
  • Series 7 & 24 required; Series 55 registration preferred;
  • Regulatory reporting, monitoring and transactions (OATS/Reg NMS/Trade Reporting) experience.

You will need to possess a strong academic profile, excellent organizational & communication as well as the ability to take initiative and assume responsibility

This position offers outstanding career progression and development. Compensation is competitive and commensurate with industry experience.

For more information, please contact Benjamin Ellison on 646 766 1212