Experience and Skills
- Bachelor’s degree; or relevant securities industry experience.
- Applicable industry exams: Series 7, and Series 24; the Series 53 will also be required for instances of delegation of certain FICM reviews.
- Experience and knowledge of securities industry including products, systems and regulations.
- Previous supervision, compliance and/or regulatory management experience strongly preferred.
- Strong interpersonal skills. Ability to work with senior managers, compliance and legal personnel to resolve issues.
- Strong organizational skills and attention-to-detail. Ability to work with a high-degree of accuracy while balancing multiple tasks.
- Proficient with Microsoft Word, Excel and Outlook. Experience with Bloomberg desired. Able to learn and utilize new systems as needed.
- Experience with technical supervisory systems for email surveillance and trade review.
- Excellent oral and written communication, including proven facilitation and presentation skills.
- Sound judgment, advances issues as appropriate, and able to maintain a high level of confidentiality. Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
- Assist with the development of trade reporting and sales surveillance programs, including: creation, implementation and communication of Written Supervisory Procedures ("WSPs").
- Participate in the review and addressing of items reported by compliance or internal audit as part of branch office examination summaries, internal audit reports or regulatory inquiries and examinations as they relate to the FICM trade reporting functions.
- Develop training for FICM staff regarding their sales and trading responsibilities and areas of impact resulting from Firm business or regulatory changes. Develop presentations and participate in the annual FICM Sales and Trading retreat, and other business meetings, as requested.
- Identify compliance, supervisory and other issues that may need further attention. Work with trading managers and compliance to respond to and resolve any issues in a timely manner.
- Assist, as needed, with principal review/approval of the trading activity of the manager(s) of the trading desks.
- Serve as securities principal and perform certain functions as delegated by designated FICM supervisors.
- Stay current on industry and regulatory updates and trends and lead and participate in special projects and initiatives, as needed.
- Other duties as assigned!
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.