127 Trade Compliance Officer Jobs in New York, NY
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Tandym Group is Hiring a Trade Compliance Officer Near New York, NY
A financial services firm in New York City is currently seeking an experienced professional to join their team as their new Trade Compliance Officer. In this role, the Trade Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations.
Responsibilities:The Trade Compliance Officer will:
- Monitor trading activities to ensure compliance with relevant regulations, laws, and policies
- Work with traders to ensure that all trades are executed in compliance with regulatory requirements and internal policies
- Develop and implement policies and procedures to ensure compliance with regulatory requirements
- Provide training and guidance to internal stakeholders on regulatory requirements and internal policies
- Conduct compliance risk assessments and audits of internal policies
- Investigate and resolve compliance issues and escalate as necessary
- Keep abreast of changes to regulatory requirements and make necessary updates to internal policies and procedures
- Interface with external regulatory bodies and respond to regulatory inquiries and requests for information
Qualifications:
- 4 years of experience in Public Equities Trading Compliance
- Bachelor's Degree in Business Administration, Finance, Legal or related field
- Series 7 required
- Strong knowledge of FINRA and SEC rules and regulations related to Public Equities Trading
- Experience using Trillium software for Trade Compliance Management
- Experience developing and implementing Public Equities Trading Compliance policies and procedures
- Solid analytical and problem solving skills
- Great interpersonal skills
- Excellent communication skills (written and verbal)
- Strong attention to detail
- Highly organized
Desired Skills:
- Series 24 or attained upon hiring
Job Summary
Full Time
$74k-93k (estimate)
06/12/2024
07/10/2024
The job skills required for Trade Compliance Officer include Problem Solving, Attention to Detail, Financial Services, Compliance Management, Communication Skills, Trading, etc. Having related job skills and expertise will give you an advantage when applying to be a Trade Compliance Officer. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Trade Compliance Officer. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Trade Compliance Officer positions, which can be used as a reference in future career path planning. As a Trade Compliance Officer, it can be promoted into senior positions as a Compliance Specialist II that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Trade Compliance Officer. You can explore the career advancement for a Trade Compliance Officer below and select your interested title to get hiring information.
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