Trade Compliance Director - Equities

  • 150-185k + Bonus
  • New York, NY, USA
  • Permanent, Full time
  • The Goodkind Group
  • 20 Sep 16

A leading bank in NYC is seeking to add a Director of Trading Compliance.This individual will act as a senior member of the team, supporting the Senior Trading Compliance Officer. The successful candidate for this position will play an active role in leading the surveillance and regulatory compliance efforts for the US Sales & Trading Department.

The Trading Compliance Director will be responsible for maintaining a successful trading compliance program. This individual will monitor trading and sales activities while acting as a training resource to the desk. He/She will also maintain supervisory procedures, respond to real-time inquiries from regulators and Firm personnel, serve as the primary liaison for trading-related FINRA/SEC exams and inquiries, ensure the trade management system is operating effectively and accurately addressing compliance issues, and manage the day to day surveillance conducted by junior members of the compliance department.