VP Equities Derivatives Options Compliance

  • Base salary, bonus and benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 15 Feb 18 2018-02-15

Our client a global investment bank is seeking to add an Equities Advisory position specifically focused on Equities Derivatives and Options.

Work in a team environment providing day to day compliance support and oversight for the Equities derivatives trading and sales desks which includes, Cash, Flow Derivatives, Convertibles, ATS, market making in cash and listed options, NYSE Floor activities, Program Trading.  Develop close working relationships with front office and other relevant infrastructure staff.  The candidate should be able to cover all aspects of Equities sales and trading.  The role will also require working with Equities Supervision and surveillance, assisting with regulatory inquiries and examinations, responding to audit requests and assisting with the growth of junior staff.  The role will require taking on projects, reviews and ad hoc tasks, working with a variety of senior business personnel and support representatives as appropriate.



The candidate will primarily focus on:

  • Live advisory compliance work with the aforementioned trading desks
  • Maintaining policies and procedures for such desks
  • Interacting with global compliance partners in Equities Compliance
  • Working closely with supervisory team to ensure proper supervisory controls are in place

Person Requirements

Basic Qualifications:

  • 5+ years of experience covering institutional equity derivatives sales and trading desks
  • 7+ years of Compliance experience in an investment bank

Preferred Qualifications:

  • Knowledge and prior experience of listed options sales, trading and market making issues
  • Knowledge and experience of day to day issues facing institutional equities trading
  • Prior experience of developing policy, assessing risks, conflicts, implementing procedures, training, surveillance, monitoring, investigations and review
  • Demonstrated communication skills, able to interact and work closely with senior business heads
  • Reliable, dependable, accountable , entrepreneurial self starter
  • Ability to interact with a variety of Regulators
  • Able to adapt to change; will be dealing with fast paced institutional trading desks
  • Proactive person who challenges processes and looks for improvements

Confident with demonstrated communication skills, team player, ambitious, intelligent and hard working