VP Supervision VP Supervision …

Hamlyn Williams
in New York, NY
Permanent, Full time
Be the first to apply
Competitive
Hamlyn Williams
in New York, NY
Permanent, Full time
Be the first to apply
Competitive
VP Supervision
We're working with an international investment bank that is looking to add an experienced Supervision specialist to their team in NY.

This role will sit in a centralized position, having oversight of product lines, across equities, fixed income, and commodities.

What you'll be doing:
  • Review surveillance reports, documents, and report anomalies, and trends.
  • Assist in maintaining up-to-date policies and procedures
  • Partner closely with Compliance and Supervision colleagues in order to monitor Regulatory developments in the context of current rules and industry trends.
  • Participate in regulatory exams, including direct interface with Regulators and Examiners
  • Advise Desk Heads on regulatory impacts to proposed strategies and transactions
What they're looking for:
  • Bachelors degree level educated
  • 5+years of Supervision or Surveillance experience within an institutional broker-dealer setting
  • Solid knowledge of the Broker-Dealer and Banking Regulations, which include but not limited to SEC, FINRA, OCC, FRB, CFTC, IIROC, OSFI etc.
  • Professional certifications are required- Series 7, 63, 24
For more information contact Thomas Byrne at Hamlyn Williams at t.byrne@hamlynwilliams.com or 646 349 4411
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