What are the responsibilities and job description for the Compliance Officer - Sales and Trading position at Larson Maddox?
A leading Investment Bank firm is seeking an experienced Sales and Trading Compliance Officer in NYC. This role involves advising and assisting the Sales and Trading Divisions in establishing, implementing, and testing institutional sales and trading policies for various products, including equities, options, structured products, high yield, loans, and claims. The ideal candidate will provide real-time advice and support to front office personnel in a fast-paced environment. This role will require 4 days in office.
Key Responsibilities :
- Provide regulatory guidance to senior leaders and sales / trading personnel.
- Ensure comprehensive transaction oversight with Legal and support functions.
- Address customer onboarding / documentation issues.
- Update compliance manuals and training materials.
- Supervise and test key functions with the Business Control Group.
- Deliver training on new regulatory requirements.
- Guide on escalated issues in electronic communications surveillance.
- Respond to regulatory inquiries.
Preferred Qualifications :
