Compliance AVP or VP

  • $85-175K
  • New York, NY, USA
  • Permanent, Full time
  • Green Key Resources
  • 26 Sep 16

Job Description:

  • Deliver real-time advisory amenities to the Emerging Markets business
  • Find regulatory trends and developments, counsel the business on how such trends and developments may influence their current activities
  • Work with other support partners within Compliance to develop trade surveillance reports and assist with internal inquiries
  • Conduct ongoing compliance risk assessments and coordinate with business leads to identify and resolve control gaps
  • Help with due diligence reviews, studies, and audits as needed
  • Work together on projects with Global and Regional Compliance team members   Be able to characterize the Compliance department on business lead working groups or infrastructure related operating committees


  • Bachelor’s Degree required
  • 5+ years of compliance or regulatory experience within a federal regulator, self-regulatory organization, or in a trading setting
  • Acquaintance with  FX and knowledge of SEC and FINRA guidelines
  • Experience networking with traders, sales staff and support staff
  • Ability to work independently, with limited supervision and effectively in a team
  • Capacity to multitask efficiently and effectively and meet tight deadlines