Deputy Chief Compliance Officer - Equities
- Location: New York, NY
- Job Type: Direct Placement
- Ref No: 23-00217
- Date: January 12, 2023
- Pay: $225000.0 - $275000.0 per Year USD
- Job title:
Job Description - Deputy Chief Compliance Officer - Equities
Deputy Chief Compliance Officer – Equities
Location: US-NY-New York
225k - 275k
Overview:
Responsible for Compliance and Regulatory affairs for the firm’s compliance group with primary focus on Equity Capital Market products and trading.
Responsibilities:
- SEC, Client , state, federal, foreign jurisdiction, and self-regulatory organization rules and regulations to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance with a focus on primary and secondary on equity activity which include: market maker, agency trading, institutional trading, options trading, and professional trading desk.
- Coordinates regulatory and internal audits and assists regulators, auditors and business unit management with regulatory exams and inquiries
- Coordinate with CCO in developing, and implementing strategies enhance regulatory compliance and reduce risk.
- Keeps abreast of new rules and regulations and how it affects the Equity Capital Market business activities of the firm to ensure firm policies and procedures are up to date.
- Manges team of personnel, develops strategic compliance initiatives, and directs these initiatives to completion.
- Coordinates Firm’s regulatory response to Equity department related inquiries and requests.
- Develop and implement policies and procedures across the Equity Capital Market areas of responsibility.
- Assists in developing an audit/control process for the annual Chief Compliance Officer report, determine what will be tested, how it will be tested, document deficiencies, and develop a plan to resolve deficiencies.
- Works with all levels of management to ensure that appropriate supervisory processes and controls are established and documented within the equity area of responsibility.
- Develops, organizes and delivers consistent compliance training, and reinforces all compliance related communications.
- Distributes and reviews compliance related data with management on a regular basis and ensures appropriate corrective action has been taken. Escalates issues to senior management, as appropriate.
- Reviews, analyzes and follows-up on relevant compliance inspection and audit issues as well as compliance metric reports.
- Oversees management’s handling of various Equity department compliance issues and provides guidance on decision making where necessary.
- Reviews and clarifies compliance processes for improved effectiveness while creating efficiencies
- Analyze new regulatory changes as they relate to the Equity Market , coordinate with various stakeholders and develop efficient process and procedures to address the new requirement.
- Provides compliance support for new product as a member of the New Product Committee.
- Performs regular employee performance reviews, goals setting and ongoing employee evaluation and feedback.
Qualifications:
- 10+ years of compliance or regulatory experience.
- Series 24 Required
- Strong knowledge of SEC and Client rules.
- Broad understanding and experience within Equity Capital Market, Fixed Income Market, and Investment Banking.
- Proven communication, analytical, and project management skills.
- Must possess strong relationship management and leadership skills including experience and ability in dealing with senior management.
- Ability to reach sound judgments and act quickly under tight deadlines.
- Experience in staff management.
- Experience in dealing with senior compliance and regulatory staff at the various exchanges and regulatory agencies.
- Must be authorized to work in the US for any employer.
- Must be available for travel as needed.
- Participant in industry, regulatory and exchange panels, organizations and committees.
About Infinity Consulting Solutions
At Infinity Consulting Solutions our mission is to cultivate successful long term relationships with candidates and clients matching the right candidate with the right client. We believe technology cannot replace the real personal relationships we cultivate. We reject the notion that technology alone is the answer to staffing which is why we our successful partnerships rely on collaboration NOT automation. ICS has been providing flexible staffing solutions for over 20 years in Information Technology, Compliance, Accounting / Finance and Corporate Support. Our staffing solutions include Contract, Temp to Perm and Permanent Placement.
ICS is an Equal Opportunity Employer.
*W2 employees of ICS are offered comprehensive benefits including health, dental and vision.
Apply With ICS