Compliance Manager NYC

Compliance Manager

 
Job ID: Job-1529       
Job Title:      Compliance Manager     
location:       New York, NY   
Jobtype:        Permanent      
Rate:          
Primary Skills:        
Description:    Developing and implementing compliance policies and procedures for global trading businesses 
Coordinating the response to regulatory exams, inquiries, and related matters raised by the Securities and Exchange Commission, the Commodities Futures Trading Commission, various U.S. self-regulatory organizations and exchanges, and international regulators by working closely with trading teams and other departments 
Building and monitoring surveillance of trading on multiple markets 
Facilitating the addition of new markets, business lines, and counterparty relationships in the U.S. and abroad in conjunction with Accounting, Legal, and Operations departments and outside counsel 
Researching and liaising with senior management regarding the legal and regulatory impact of new legislation and proposed or final rules and regulations, including drafting comment letters relating to proposed regulations and working with industry groups to draft group responses 
Preparing and maintaining regulatory filings 
Assisting in the development of compliance training for employees and conducting training sessions 
Acting as a resource to educate and train more junior members of the Compliance team 

Qualifications 
The ideal candidate will have 6-10 years of regulatory compliance experience in a broker-dealer, trading, or asset management firm. In addition, he or she should have: 

Significant experience with SEC, FINRA, CFTC, and other regulators and familiarity with rules relating to broker-dealers, proprietary trading firms, and investment advisers 
Knowledge of U.S. trading rules, including Reg. SHO, Reg. NMS, and specific rules of exchanges 
Experience working with trading desks and the ability to give well-considered and practical advice to traders and senior management 
Familiarity with the trading of various instruments, including stocks, fixed-income products, foreign exchange, futures, commodities, and energy interests 
Experience dealing with electronic trading issues in the U.S. and abroad 
A strong network of securities and futures industry contacts and experience working with industry groups 
Excellent written and verbal communication skills 
Outstanding organizational abilities and a strong attention to detail 
The ability to work effectively both in a team environment and independently 
The ability to coordinate large and complex projects 
Bachelor’s degree and excellent transcripts 
Law degree or master’s degree (a plus) 

Email resume in Word to TheBigGameHunter@cisny.com. Please include the job code for the position with your resume. 

NO RELOCATION. NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES. 
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