Executive Compliance Officer – Solutions Advisory

  • The Executive Compliance Officer – Solutions Advisory position will provide compliance advisory services across multiple business lines and asset classes, including OTC derivatives, structured notes/products, equities, fixed income, listed options, equity derivatives, and hedging activities. This role also involves overseeing trading activities and ensuring compliance with various regulatory reporting requirements.  The position will primarily focus on providing real-time compliance advisory services to the Solutions Business units.  Such guidance will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practices.  In addition, this individual will be responsible for advising in the individuals within the various Business lines from a Compliance advisory perspective.

    In the ever-evolving financial landscape, Compliance has become increasingly complex. The company must navigate a wide range of regulatory requirements to maintain licenses and protect their reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law.

    Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within and ensuring that all employees understand their responsibilities.

    Furthermore, Compliance is a bridge between the company and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between the company and regulatory bodies.

    Responsibilities:

    Proactive in implementing Annual Compliance Plan in line with below responsibilities:

    • Provide Compliance Advisory services to US Solutions business lines.

    • Complete or assist in completing US Solutions related regulatory inquiries

    •  Complete or assist in completing US Solutions BCAC guidance for management review.

    • Manage US Solutions Business Line management relationships.

    • Collaborate to ensure Americas Compliance Calendar deadlines are achieved.

    • Create or assist in developing US Solutions Policies and Procedures and Written Supervisory Procedures.

    • Provide Compliance Advisory services for US Solutions Trade Surveillance process.

    • Provide Compliance Advisory services for US Solutions Regulatory Reporting process.

    • Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges and regulatory bodies.

    • Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.

    • Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.

    • At all times complying with Code of Conduct

      • To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.

      • To report any breaches of policy to Compliance and/ or your supervisor as required

      • To escalate risk events immediately

      • To provide input to risk management processes, as required.

    The Company may require you to carry out other duties from time to time.

    Competencies, Skills and Experience:

    Competencies

    • Have a positive, hands-on, “can-do” attitude.

    •  Excellent verbal and written communication skills.

    • Critical thinker, proactive and creative.

    • Identify, analyze and address compliance matters.

    • Excellent verbal and written communication skills.

    • Highly organized, strong attention to detail.

    • Ability to independently identify and resolve issues.

    • Ability to work and research issues with minimal oversight.

    •  Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.

    Skills and Experience

    • At least 10 years of securities advisory experience. Knowledge of broker-dealer activities and requirements.

    • Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC, Options Clearing Corp. and other Self-Regulatory Organizations.

    • Ability to work on multiple projects in a fast-paced environment.

    • Ability to project confidence and professionalism in dealings with senior business personnel.

    • Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment.

    • Ability to work on multiple projects in a fast-paced environment.

    • Comfortable working both independently and in a team environment.

    • Quick learner and self-starter, with the ability to manage multiple tasks simultaneously with minimal supervision.

    • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

    • Bachelor’s Degree

How to Apply: