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 email@example.com or 646 349 4411