Market Compliance - Senior Business Advisor - Vice President
Position Overview Description
- Advisory - Provide advice on regulatory compliance issues, with specific coverage focus on Prime Services and Electronic Execution business. Requires hands on knowledge with DMA, Algos, Internalization Engines, Delta 1, Derivatives, Stock Borrowing/Lending and Prime Brokerage business.
- New business initiatives - Review new business initiatives from a local regulatory, best practice and Firm perspective.
- Compliance policies and procedures - Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary, and draft new manuals, Compliance Notices, policies and procedures in light of regulatory or business changes.
- Desk reviews and testing - Provide advice to the Desk Review Team to identify risk areas or lead independent reviews and testing of business practice.
- Regulatory interaction - Help develop and manage the Firm's contact and relationship with its regulators, ensuring that communications between the Firm and its regulators are open and constructive.
- Industry contacts - Work on communications with industry participants to ensure appropriateness and consistency.
- Reporting - Compliance responsibility for relevant regulatory reporting, including trade error reporting.
- Training - Develop training materials and provide training to staff.
- Surveillance - Work with the Surveillance team on investigating irregular trading activities, document findings and help prepare regulatory responses.
- Knowledge of regulatory and compliance requirements, especially those related to equities activities.
- At least 4 years of relevant experience with a financial institution covering equities activities.
- Strong analytical skills, detail-oriented, quick study.
- Team player.
- Excellent verbal and written English skills is a must.
- Ability to speak and read Chinese is a plus.
Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
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